# full_llm_cache

prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "\n        You are a question rewriter that optimizes an input question for better retrieval from vectorstore data containing information security regulatory texts, especially tha digital operations security acrt (DORA).\n        The regulatory texts in the vectorstore mainly address the following topics: ['ICT strategy management', 'IT governance management & internal controls system', 'Internal audit & compliance management', 'ICT asset & architecture management', 'ICT risk management', 'Information security & human resource security management', 'IT configuration management', 'Cryptography, certificates & key management', 'Secure network & infrastructure management', 'Backup', 'Security testing', 'Threat-led penetration testing', 'Logging', 'Data and ICT system security', 'Physical and environmental security', 'Vulnerability & patch management', 'Identity and access management', 'ICT change management', 'IT project & project portfolio management', 'Acquisition, development & maintenance of ICT systems & EUA', 'ICT incident management', 'Monitoring, availability, capacity & performance management', 'ICT outsourcing & third-party risk management', 'Subcontracting management', 'ICT provider & service level management', 'ICT business continuity management'].\n        Your goal is to understand the underlying semantic intent of the input question and reformulate it to improve clarity and relevance for retrieving content on ['ICT strategy management', 'IT governance management & internal controls system', 'Internal audit & compliance management', 'ICT asset & architecture management', 'ICT risk management', 'Information security & human resource security management', 'IT configuration management', 'Cryptography, certificates & key management', 'Secure network & infrastructure management', 'Backup', 'Security testing', 'Threat-led penetration testing', 'Logging', 'Data and ICT system security', 'Physical and environmental security', 'Vulnerability & patch management', 'Identity and access management', 'ICT change management', 'IT project & project portfolio management', 'Acquisition, development & maintenance of ICT systems & EUA', 'ICT incident management', 'Monitoring, availability, capacity & performance management', 'ICT outsourcing & third-party risk management', 'Subcontracting management', 'ICT provider & service level management', 'ICT business continuity management'].\n        If the question is not related to any of the topics or information security regulatory texts, simply answer: \"Thats an interesting question, but I dont think I can answer it based on my Dora knowledge.\"\n        ", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Here is the initial question: \n\nEine Frage \nPlease formulate an improved version of the question, focusing on clarity and retrieval optimization.", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-4o", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('stop', None)]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"text": "Thats an interesting question, but I dont think I can answer it based on my Dora knowledge.", "generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "Thats an interesting question, but I dont think I can answer it based on my Dora knowledge.", "additional_kwargs": {"refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 20, "prompt_tokens": 511, "total_tokens": 531, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-4o-2024-08-06", "system_fingerprint": "fp_90354628f2", "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-8b08619f-9fe0-4b20-a3ba-98caa7f888cf-0", "usage_metadata": {"input_tokens": 511, "output_tokens": 20, "total_tokens": 531}, "tool_calls": [], "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "\n        You are a question rewriter that optimizes an input question for better retrieval from vectorstore data containing information security regulatory texts, especially tha digital operations security acrt (DORA).\n        The regulatory texts in the vectorstore mainly address the following topics: ['ICT strategy management', 'IT governance management & internal controls system', 'Internal audit & compliance management', 'ICT asset & architecture management', 'ICT risk management', 'Information security & human resource security management', 'IT configuration management', 'Cryptography, certificates & key management', 'Secure network & infrastructure management', 'Backup', 'Security testing', 'Threat-led penetration testing', 'Logging', 'Data and ICT system security', 'Physical and environmental security', 'Vulnerability & patch management', 'Identity and access management', 'ICT change management', 'IT project & project portfolio management', 'Acquisition, development & maintenance of ICT systems & EUA', 'ICT incident management', 'Monitoring, availability, capacity & performance management', 'ICT outsourcing & third-party risk management', 'Subcontracting management', 'ICT provider & service level management', 'ICT business continuity management'].\n        Your goal is to understand the underlying semantic intent of the input question and reformulate it to improve clarity and relevance for retrieving content on ['ICT strategy management', 'IT governance management & internal controls system', 'Internal audit & compliance management', 'ICT asset & architecture management', 'ICT risk management', 'Information security & human resource security management', 'IT configuration management', 'Cryptography, certificates & key management', 'Secure network & infrastructure management', 'Backup', 'Security testing', 'Threat-led penetration testing', 'Logging', 'Data and ICT system security', 'Physical and environmental security', 'Vulnerability & patch management', 'Identity and access management', 'ICT change management', 'IT project & project portfolio management', 'Acquisition, development & maintenance of ICT systems & EUA', 'ICT incident management', 'Monitoring, availability, capacity & performance management', 'ICT outsourcing & third-party risk management', 'Subcontracting management', 'ICT provider & service level management', 'ICT business continuity management'].\n        If the question is not related to any of the topics or information security regulatory texts, simply answer: \"Thats an interesting question, but I dont think I can answer it based on my Dora knowledge.\"\n        ", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Here is the initial question: \n\nWas ist der Unterschied zwischen TIBER-EU und DORA TLPT? \nPlease formulate an improved version of the question, focusing on clarity and retrieval optimization.", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-4o", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('stop', None)]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"text": "What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "additional_kwargs": {"refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 26, "prompt_tokens": 525, "total_tokens": 551, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-4o-2024-08-06", "system_fingerprint": "fp_90354628f2", "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-8987c45f-b91a-4c5b-a4e6-7c3fbe259006-0", "usage_metadata": {"input_tokens": 525, "output_tokens": 26, "total_tokens": 551}, "tool_calls": [], "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n specific expertise in threat intelligence, penetration testing and red team testing;(c)are certified by an accreditation body in a Member State or adhere to formal codes of conduct or ethical frameworks;(d)provide an independent assurance, or an audit report, in relation to the sound management of risks associated with the carrying out of TLPT, including the due protection of the financial entity\u2019s confidential information and redress for the business risks of the financial entity;(e)are duly and fully covered by relevant professional indemnity insurances, including against risks of misconduct and negligence.(a)such use has been approved by the relevant competent authority or by the single public authority designated in accordance with Article\u00a026(9) and\u00a0(10);(b)the relevant competent authority has verified that the financial entity has sufficient dedicated resources and ensured that conflicts of interest are avoided throughout the design and execution phases of the test; and(c)the \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-3.5-turbo", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('parallel_tool_calls', False), ('stop', None), ('tool_choice', {'type': 'function', 'function': {'name': 'GradeDocuments'}}), ('tools', [{'type': 'function', 'function': {'name': 'GradeDocuments', 'description': 'Binary score for relevance check on retrieved documents.', 'parameters': {'properties': {'binary_score': {'description': "Documents are relevant to the question, 'yes' or 'no'", 'type': 'string'}}, 'required': ['binary_score'], 'type': 'object'}}}])]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_ZMO8Dx3tTrYaSrbbe21Sdi9X", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 378, "total_tokens": 384, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-461a44f9-23e8-483b-800b-ad81d6133121-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_ZMO8Dx3tTrYaSrbbe21Sdi9X", "type": "tool_call"}], "usage_metadata": {"input_tokens": 378, "output_tokens": 6, "total_tokens": 384}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n (56)In order to achieve a high level of digital operational resilience, and in line with both the relevant international standards (e.g. the G7 Fundamental Elements for Threat-Led Penetration Testing) and with the frameworks applied in the Union, such as the TIBER-EU, financial entities should regularly test their ICT systems and staff having ICT-related responsibilities with regard to the effectiveness of their preventive, detection, response and recovery capabilities, to uncover and address potential ICT vulnerabilities. To reflect differences that exist across, and within, the various financial subsectors as regards financial entities\u2019 level of cybersecurity preparedness, testing should include a wide variety of tools and actions, ranging from the assessment of basic requirements (e.g. vulnerability assessments and scans, open source analyses, network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-3.5-turbo", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('parallel_tool_calls', False), ('stop', None), ('tool_choice', {'type': 'function', 'function': {'name': 'GradeDocuments'}}), ('tools', [{'type': 'function', 'function': {'name': 'GradeDocuments', 'description': 'Binary score for relevance check on retrieved documents.', 'parameters': {'properties': {'binary_score': {'description': "Documents are relevant to the question, 'yes' or 'no'", 'type': 'string'}}, 'required': ['binary_score'], 'type': 'object'}}}])]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_GZR7Zyk5JJoCfPevd5ikZ3pr", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 371, "total_tokens": 377, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-a2aae059-d28b-43de-b5e7-7e91a71c892b-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_GZR7Zyk5JJoCfPevd5ikZ3pr", "type": "tool_call"}], "usage_metadata": {"input_tokens": 371, "output_tokens": 6, "total_tokens": 377}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n (57)Financial entities involved in cross-border activities and exercising the freedoms of establishment, or of provision of services within the Union, should comply with a single set of advanced testing requirements (i.e. TLPT) in their home Member State, which should include the ICT infrastructures in all jurisdictions where the cross-border financial group operates within the Union, thus allowing such cross-border financial groups to incur related ICT testing costs in one jurisdiction only.(57)Financial entities involved in cross-border activities and exercising the freedoms of establishment, or of provision of services within the Union, should comply with a single set of advanced testing requirements (i.e. TLPT) in their home Member State, which should include the ICT infrastructures in all jurisdictions where the cross-border financial group operates within the Union, thus allowing such cross-border financial groups to incur related ICT testing costs in one jurisdiction only. \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-3.5-turbo", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('parallel_tool_calls', False), ('stop', None), ('tool_choice', {'type': 'function', 'function': {'name': 'GradeDocuments'}}), ('tools', [{'type': 'function', 'function': {'name': 'GradeDocuments', 'description': 'Binary score for relevance check on retrieved documents.', 'parameters': {'properties': {'binary_score': {'description': "Documents are relevant to the question, 'yes' or 'no'", 'type': 'string'}}, 'required': ['binary_score'], 'type': 'object'}}}])]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_QicFcd1XC40GRUNSog9PkGvH", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 370, "total_tokens": 376, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-77b30fcd-9863-4fd6-b453-65e75d0b46de-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_QicFcd1XC40GRUNSog9PkGvH", "type": "tool_call"}], "usage_metadata": {"input_tokens": 370, "output_tokens": 6, "total_tokens": 376}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n entities subject to the simplified ICT risk management framework under this Regulation should be exempted from the requirement to perform advanced testing of ICT tools, systems and processes based on threat-led penetration testing (TLPT), as only financial entities meeting the criteria set out in this Regulation should be required to carry out such testing. In light of their limited capabilities, microenterprises should be able to agree with the ICT third-party service provider to delegate the financial entity\u2019s rights of access, inspection and audit to an independent third-party, to be appointed by the ICT third-party service provider, provided that the financial entity is able to request, at any time, all relevant information and assurance on the ICT third-party service provider\u2019s performance from the respective independent third-party. \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_lSSXhxOPxY1XonZUamoL7yZi", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 343, "total_tokens": 349, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-8a9ce59f-957e-4deb-8aba-5b1c667fe30f-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_lSSXhxOPxY1XonZUamoL7yZi", "type": "tool_call"}], "usage_metadata": {"input_tokens": 343, "output_tokens": 6, "total_tokens": 349}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews where feasible, scenario-based tests, compatibility testing, performance testing or end-to-end testing) to more advanced testing by means of TLPT. Such advanced testing should be required only of financial entities that are mature enough from an ICT perspective to reasonably carry it out. The digital operational resilience testing required by this Regulation should thus be more demanding for those financial entities meeting the criteria set out in this Regulation (for example, large, systemic and ICT-mature credit institutions, stock exchanges, central securities depositories and central counterparties) than for other financial entities. At the same time, the digital operational resilience testing by means of TLPT should be more relevant for financial entities operating in core financial services subsectors and playing a systemic role (for example, \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_DpcgRftOADLSY91bGse8ZFIs", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 365, "total_tokens": 371, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-d84bd6f4-a3bf-42e2-ab66-b82f63971a7a-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_DpcgRftOADLSY91bGse8ZFIs", "type": "tool_call"}], "usage_metadata": {"input_tokens": 365, "output_tokens": 6, "total_tokens": 371}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n level, this Regulation should allow the use of internal testers for the purposes of carrying out TLPT, provided there is supervisory approval, no conflicts of interest, and periodical alternation of the use of internal and external testers (every three tests), while also requiring the provider of the threat intelligence in the TLPT to always be external to the financial entity. The responsibility for conducting TLPT should remain fully with the financial entity. Attestations provided by authorities should be solely for the purpose of mutual recognition and should not preclude any follow-up action needed to address the ICT risk to which the financial entity is exposed, nor should they be seen as a supervisory endorsement of a financial entity\u2019s ICT risk management and mitigation capabilities. \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_dYPVbXJaFNq3ZFzxna829NxZ", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 341, "total_tokens": 347, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-18c9a500-e76d-4223-abdb-032e81a8683c-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_dYPVbXJaFNq3ZFzxna829NxZ", "type": "tool_call"}], "usage_metadata": {"input_tokens": 341, "output_tokens": 6, "total_tokens": 347}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n Article\u00a026Advanced testing of ICT tools, systems and processes based on TLPT1.\u00a0\u00a0\u00a0Financial entities, other than entities referred to in Article\u00a016(1), first subparagraph, and other than microenterprises, which are identified in accordance with paragraph 8, third subparagraph, of this Article, shall carry out at least every 3 years advanced testing by means of TLPT. Based on the risk profile of the financial entity and taking into account operational circumstances, the competent authority may, where necessary, request the financial entity to reduce or increase this frequency.2.\u00a0\u00a0\u00a0Each threat-led penetration test shall cover several or all critical or important functions of a financial entity, and shall be performed on live production systems supporting such functions.Financial entities shall identify all relevant underlying ICT systems, processes and technologies supporting critical or important functions and ICT services, including those supporting the critical or important functions \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_0JlqIFSgTqGkMRo391AQPM2r", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 375, "total_tokens": 381, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-062d9256-c368-4677-9ce5-11d399c741ff-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_0JlqIFSgTqGkMRo391AQPM2r", "type": "tool_call"}], "usage_metadata": {"input_tokens": 375, "output_tokens": 6, "total_tokens": 381}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n as referred to in Article 6(6) of Regulation (EU) 2022/2554, the results of internal audits;(ii)the results of compliance assessments;(iii)results of digital operational resilience testing, and where applicable the results of advanced testing, based on threat-led penetration testing (TLPT), of ICT tools, systems, and processes;(iv)external sources.(i)for financial entities other than microenterprises as referred to in Article 6(6) of Regulation (EU) 2022/2554, the results of internal audits;(ii)the results of compliance assessments;(iii)results of digital operational resilience testing, and where applicable the results of advanced testing, based on threat-led penetration testing (TLPT), of ICT tools, systems, and processes;(iv)external sources. \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_VVCrCeEyiUQ3z0bFHrCrKfDo", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 361, "total_tokens": 367, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-122d266d-9371-4d44-a9f7-0166906dcf1b-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_VVCrCeEyiUQ3z0bFHrCrKfDo", "type": "tool_call"}], "usage_metadata": {"input_tokens": 361, "output_tokens": 6, "total_tokens": 367}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n and responsible vulnerability management framework. For the same reason, financial entities should monitor ICT vulnerabilities using reliable resources and automated tools, verifying that ICT third-party service providers ensure prompt action on vulnerabilities in provided ICT services. \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_pHqBjxDgJwEXykQ00fojMoxC", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 236, "total_tokens": 242, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-bc105551-cb34-4c93-9d1f-1570936af092-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_pHqBjxDgJwEXykQ00fojMoxC", "type": "tool_call"}], "usage_metadata": {"input_tokens": 236, "output_tokens": 6, "total_tokens": 242}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n and analyse vulnerabilities and anomalies in the source code;(b)adopt an action plan to address those vulnerabilities and anomalies;(c)monitor the implementation of that action plan.4.   The procedure referred to in paragraph 2 shall contain security testing of software packages no later than at the integration phase, in accordance with Article 8(2), points (b)(v), (vi) and(vii).5.   The procedure referred to in paragraph 2 shall provide that:(a)non-production environments only store anonymised, pseudonymised, or randomised production data;(b)financial entities are to protect the integrity and confidentiality of data in non-production environments.6.   By way of derogation from paragraph 5, the procedure referred to in paragraph 2 may provide that production data are stored only for specific testing occasions, for limited periods of time, and following the approval by the relevant function and the reporting of such occasions to the ICT risk management function.7.   The procedure \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_AEJIoA7Fd4mut85NTpWieHnD", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 395, "total_tokens": 401, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-750f7978-077e-4584-a09b-87badcf596e6-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_AEJIoA7Fd4mut85NTpWieHnD", "type": "tool_call"}], "usage_metadata": {"input_tokens": 395, "output_tokens": 6, "total_tokens": 401}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n that a total loss or severe degradation of such systems would have in terms of critical or important functions and market efficiency;(iii)summarises the major changes in the ICT risk management framework since the previous report submitted;(iv)provides an executive level summary of the current and near-term ICT risk profile, threat landscape, the assessed effectiveness of its controls, and the security posture of the financial entity;(i)clearly identifies the financial entity that is the subject of the report, and describes its group structure, where relevant;(ii)describes the context of the report in terms of the nature, scale, and complexity of the financial entity\u2019s services, activities, and operations, its organisation, identified critical functions, strategy, major ongoing projects or activities, relationships and its dependence on in-house and contracted ICT services and systems or the implications that a total loss or severe degradation of such systems would have in terms of \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_m0uaDdFeKbNMOc0jAQxiRTOZ", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 377, "total_tokens": 383, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-6a284952-ba8f-4e16-8c41-d44fe243f922-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_m0uaDdFeKbNMOc0jAQxiRTOZ", "type": "tool_call"}], "usage_metadata": {"input_tokens": 377, "output_tokens": 6, "total_tokens": 383}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n penetration testing, that are organised jointly with other contracting financial entities or firms that use ICT services of the same ICT third-party service provider and that are performed by those contracting financial entities or firms or by a third party appointed by them;(c)where appropriate, third-party certifications;(d)where appropriate, internal or third-party audit reports made available by the ICT third-party service provider.3.   The financial entity shall not over time rely solely on certifications referred to in paragraph 2, point (c), or audit reports referred to in point (d) of that paragraph. The policy shall only permit the use of the methods referred to in paragraph 2, points (c) and (d), where the financial entity:(a)is satisfied with the audit plan of the ICT third-party service provider for the relevant contractual arrangements;(b)ensures that the scope of the certifications or audit reports cover the systems and key controls identified by it and ensures \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_tCx7YAZRENdOGOtDnaLHn7Cj", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 385, "total_tokens": 391, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-87e61bf9-8f37-4fb9-9fcb-d96853baf942-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_tCx7YAZRENdOGOtDnaLHn7Cj", "type": "tool_call"}], "usage_metadata": {"input_tokens": 385, "output_tokens": 6, "total_tokens": 391}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n (2)For the same reason, financial entities subject to Regulation (EU) 2022/2554 should have a certain flexibility in the way they comply with any requirements as regards ICT security policies, procedures, protocols and tools, and as regards any simplified ICT risk management framework. For that reason, financial entities should be allowed to use any documentation they have already to comply with any documentation requirements that flow from those requirements. It follows that the development, documentation, and implementation of specific ICT security policies should be required only for certain essential elements, taking into account, inter alia, leading industry practices and standards. Furthermore, to cover specific technical implementation aspects, it is necessary to develop, document and implement ICT security procedures to cover specific technical implementation aspects, including capacity and performance management, vulnerability and patch management, data and system security, \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_9QuDvk358J7s3s8tp5idjNzj", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 362, "total_tokens": 368, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-5f5b6d52-e86d-4630-af09-98914bf46154-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_9QuDvk358J7s3s8tp5idjNzj", "type": "tool_call"}], "usage_metadata": {"input_tokens": 362, "output_tokens": 6, "total_tokens": 368}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n (1)The framework on digital operational resilience for the financial sector established by Regulation (EU) 2022/2554 requires that financial entities set out certain key principles to manage ICT third-party risk, which are of particular importance when financial entities engage with ICT third-party service providers to support their critical or important functions.(1)The framework on digital operational resilience for the financial sector established by Regulation (EU) 2022/2554 requires that financial entities set out certain key principles to manage ICT third-party risk, which are of particular importance when financial entities engage with ICT third-party service providers to support their critical or important functions. \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_RryMY19QOqcot2txNSmlfnjC", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 322, "total_tokens": 328, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-c0b5291b-1799-471a-bb1a-8b8c2dd00228-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_RryMY19QOqcot2txNSmlfnjC", "type": "tool_call"}], "usage_metadata": {"input_tokens": 322, "output_tokens": 6, "total_tokens": 328}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n financial entities. Other examples are scenario-based testing, compatibility testing and penetration testing. Selected critical entities of the financial sector are additionally supposed to conduct threat led penetration tests (TLPT), which involve hackers being allocated the task of identifying IT vulnerabilities at companies. The objective is to close any security gaps. The details of these tests will be set out in the regulatory technical standards ( RTS ) that will draw heavily on the European TIBER - EU framework. The previous German equivalent, TIBER -DE, which was voluntary, becomes obligatory through DORA. The supervisors will provide the financial entities with an attestation confirming that a TLPT was successfully performed in line with supervisory requirements. DORA provides for cross-border recognition of these attestations. But from BaFin\u2019s perspective, the TLPTs not only serve supervisory purposes; most importantly, they serve as a source of insight to the financial \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_J9s4Cbk82ri41kYME3TFWMbM", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 375, "total_tokens": 381, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-af727110-80e6-4c8d-a925-9a44db44bdd5-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_J9s4Cbk82ri41kYME3TFWMbM", "type": "tool_call"}], "usage_metadata": {"input_tokens": 375, "output_tokens": 6, "total_tokens": 381}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n von den Finanzunternehmen auf den IKT-Drittdienstleister ist nicht m\u00f6glich. K\u00f6nnen IKT-Drittdienstleister auch eine Bescheinigung nach Artikel 26 Absatz 7 DORA \u00fcber die ordnungsgem\u00e4\u00dfe Durchf\u00fchrung eines TLPT erhalten? Nein, eine solche Bescheinigung erhalten nur Unternehmen, die von der zust\u00e4ndigen Aufsichtsbeh\u00f6rde gem\u00e4\u00df Artikel 26 Absatz 8 Unterabsatz 3 DORA ermittelt worden sind. Zusatzinformationen Konsultationsentwurf f\u00fcr den RTS zu Threat Led Penetration Testing (Art. 26 Abs. 11) Format Anlage Konsultationsentwurf f\u00fcr den RTS zu Threat Led Penetration Testing (Art. 26 Abs. 11) (PDF, 706KB, nicht barrierefrei) Veranstaltung \u201eIT-Aufsicht im Finanzsektor: Was bedeutet DORA in der Praxis?\" vom 5. Dezember 2023 Format Anlage Pr\u00e4sentation TLTP unter DORA (PDF, 1MB, nicht barrierefrei) Fanden Sie den Beitrag hilfreich? Wir freuen uns \u00fcber Ihr Feedback Es hilft uns, die Webseite kontinuierlich zu verbessern und aktuell zu halten. Bei Fragen, f\u00fcr deren Beantwortung wir Sie kontaktieren \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_nduEe8bekrrF3551foh56Uxz", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 482, "total_tokens": 488, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-8f4275d5-4829-4323-97be-60f3795bf8f8-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_nduEe8bekrrF3551foh56Uxz", "type": "tool_call"}], "usage_metadata": {"input_tokens": 482, "output_tokens": 6, "total_tokens": 488}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n BaFin ist zust\u00e4ndige Ausichtsbeh\u00f6rde und f\u00fcr die aufsichtlichen Aufgaben zum Thema TLPT verantwortlich, die operative Begleitung der TLPT obliegt der Deutschen Bundesbank. Testmethodik & Kooperation mit der Deutschen Bundesbank Quelle: Bundesbank und BaFin Was m\u00fcssen Sie wissen? Der Fragenkatalog vermittelt, ohne Anspruch auf Vollst\u00e4ndigkeit, einen ersten \u00dcberblick \u00fcber die wichtigsten Fragestellungen und deren Umsetzung. Dieser Fragenkatalog wird fortlaufend aktualisiert. Wie werden die Anforderungen an das Threat-Led Penetration Testing (TLPT) aus Artikel 26 und 27 DORA ab 2025 in Deutschland umgesetzt? Die wesentliche Testmethodik und die Testverfahren f\u00fcr TLPT sollen im Einklang mit dem TIBER-EU-Rahmenwerk erfolgen (Artikel 26 Absatz 11 DORA). Deshalb werden die operativen Aufgaben mit Bezug zu TLPT - wie bereits unter TIBER-DE - von der Deutschen Bundesbank wahrgenommen. Durch DORA werden solche Tests zu einem aufsichtlichen Instrument und Teil des IKT-Risikomanagementrahmens \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_OCxbDEQXyehRY521EfL4b79t", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 456, "total_tokens": 462, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-224e4efc-17ed-4fc8-95a4-f16fd9d5a9fd-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_OCxbDEQXyehRY521EfL4b79t", "type": "tool_call"}], "usage_metadata": {"input_tokens": 456, "output_tokens": 6, "total_tokens": 462}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n solches Testprogramm soll zum Beispiel Open-Source-Software analysieren, die Netzsicherheit und die physische Sicherheit in den Finanzunternehmen pr\u00fcfen sowie Gap-Analysen, szenariobasierte Tests, Kompatibilit\u00e4tstests oder Penetrationstests umfassen. Auf diese Weise sollen die Finanzunternehmen unter anderem erkennen, wie sie auf IKT-Vorf\u00e4lle vorbereitet sind und wo sie m\u00f6glicherweise Schwachstellen in ihrer digitalen operationellen Resilienz haben. Das Testprogramm ist integraler Bestandteil des IKT-Risikomanagementrahmens eines jeden Finanzunternehmens. Threat-led Penetration Testing (TLPT) Neben den allgemeinen Anforderungen f\u00fcr das Testen der digitalen operationalen Resilienz im Rahmen des Testprogramms von Finanzunternehmen, wie es in den Artikel 24 und 25 DORA beschrieben ist, f\u00fchrt DORA ebenfalls erweiterte Tests von IKT-Tools, -Systemen und -Prozessen auf Basis von TLPT ein (Artikel 26 und 27 DORA). Threat-led Penetration Testing (TLPT) Quelle: BaFin Im Gegensatz zu den \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_DljNJxvx5uU70BexhxUKEOp4", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 460, "total_tokens": 466, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-e45dc388-d0d5-4cdb-8120-f58ebe39fb2f-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_DljNJxvx5uU70BexhxUKEOp4", "type": "tool_call"}], "usage_metadata": {"input_tokens": 460, "output_tokens": 6, "total_tokens": 466}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n Penetrationstests (Threat Led Penetration Tests \u2013 TLPT) durchf\u00fchren. Dabei werden Hacker damit beauftragt, IT -Schwachstellen beim Unternehmen aufzudecken. Ziel ist es, diese Sicherheitsl\u00fccken zu schlie\u00dfen. Wie die Tests konkret ausgestaltet sein sollen, wird durch technische Regulierungsstandards ( RTS ) festgelegt. Diese lehnen sich eng an das europ\u00e4ische Rahmenwerk TIBER - EU an. Das bisher freiwillige deutsche \u00c4quivalent, TIBER -DE , wird durch DORA zur Pflicht. Die Aufsicht bescheinigt den Unternehmen, dass sie einen TLPT erfolgreich und aufsichtskonform durchgef\u00fchrt haben. Diese Bescheinigungen werden grenz\u00fcberschreitend anerkannt. Aus Sicht der BaFin sollten die TLPTs aber nicht nur der Aufsicht, sondern vor allem dem Erkenntnisgewinn der jeweiligen Unternehmen dienen. Drittparteien im Blick DORA nimmt auch die Risiken in den Fokus, die entstehen k\u00f6nnen, wenn Unternehmen des Finanzmarkts IKT-Drittdienstleister nutzen. Die Unternehmen, die diese Dienstleistungen nutzen, m\u00fcssen \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_559cFzkzI52GgqYiN2j5Qh3W", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 463, "total_tokens": 469, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-b49f194f-9e10-4901-b84a-3d49b4f56e7f-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_559cFzkzI52GgqYiN2j5Qh3W", "type": "tool_call"}], "usage_metadata": {"input_tokens": 463, "output_tokens": 6, "total_tokens": 469}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n Kriterien RTS Quelle: BaFin Technischer Regulierungsstandard (RTS) zu TLPT Im Rahmen der europ\u00e4ischen Umsetzungsarbeiten zu DORA wurden die ESAs \u00fcber den Gemeinsamen Ausschuss und im Einvernehmen mit der EZB gem\u00e4\u00df Artikel 26 Absatz 11 DORA erm\u00e4chtigt, einen RTS-Entwurf zu bestimmten Aspekten der fortgeschrittenen Pr\u00fcfung von IKT-Werkzeugen, -Systemen und -Prozessen auf der Grundlage von TLPT in \u00dcbereinstimmung mit dem TIBER-EU-Rahmen vorzulegen. Dieser wurde am 17. Juli 2024 von den ESAs an die europ\u00e4ische Kommission \u00fcbermittelt (LINK) und wird dort nun gepr\u00fcft. Nach Ver\u00f6ffentlichung im Amtsblatt der EU wird er in Kraft treten. Das Mandat dieses RTS umfasst: a) die f\u00fcr die Zwecke der Identifikation von Finanzunternehmen zur Durchf\u00fchrung von TLPT nach Artikel 26 Absatz 8 DORA herangezogenen Kriterien; b) die Anforderungen und Standards f\u00fcr den Einsatz interner Tester; c) die Anforderungen hinsichtlich: i) des Testumfang von TLPT; ii) der Testmethodik und des Testkonzepts f\u00fcr jede \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_M24zt1ms3hwQ2NYuS44p3qGg", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 490, "total_tokens": 496, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-6dcff7d2-dbc1-4c43-a64e-5591cf38c869-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_M24zt1ms3hwQ2NYuS44p3qGg", "type": "tool_call"}], "usage_metadata": {"input_tokens": 490, "output_tokens": 6, "total_tokens": 496}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n f\u00fchrt DORA ebenfalls erweiterte Tests von IKT-Tools, -Systemen und -Prozessen auf Basis von TLPT ein (Artikel 26 und 27 DORA). Threat-led Penetration Testing (TLPT) Quelle: BaFin Im Gegensatz zu den allgemeinen Anforderungen f\u00fcr das Testen gelten die erweiterten Tests auf Basis von TLPT nur f\u00fcr eine kleine Anzahl an Finanzunternehmen, die anhand der Kriterien von Artikel 26 Absatz 8 Unterabsatz 3 DORA identifiziert werden. Diese identifizierten Unternehmen werden von der BaFin als zust\u00e4ndigen Aufsichtsbeh\u00f6rde oder im Falle von signifikanten Kreditinstituten von der EZB durch einen Identifikationsbescheid \u00fcber ihre Verpflichtung zur Durchf\u00fchrung eines TLPT informiert. Die Kriterien sind in Artikel 26 Absatz 8 Unterabsatz 3 DORA beschrieben. Bei der Identifikation von Finanzunternehmen, die TLPT durchzuf\u00fchren haben, sollen sich zust\u00e4ndige Beh\u00f6rden neben dem allgemeinen Proportionalit\u00e4tsgrundsatz im Sinne von Artikel 4 Absatz 2 DORA auf die Bewertung folgender Kriterien st\u00fctzen: a) \n\n User question: What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_tCx7YAZRENdOGOtDnaLHn7Cj", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 474, "total_tokens": 480, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-c8eac545-e672-4977-b3e6-8fb356a8c187-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_tCx7YAZRENdOGOtDnaLHn7Cj", "type": "tool_call"}], "usage_metadata": {"input_tokens": 474, "output_tokens": 6, "total_tokens": 480}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a highly experienced IT auditor, specializing in information security and regulatory compliance. Your task is to assist a colleague who has approached you with a question. You have access to relevant context, provided here: [Document(metadata={'source': 'Dora,', 'section': 'art_27'}, page_content='specific expertise in threat intelligence, penetration testing and red team testing;(c)are certified by an accreditation body in a Member State or adhere to formal codes of conduct or ethical frameworks;(d)provide an independent assurance, or an audit report, in relation to the sound management of risks associated with the carrying out of TLPT, including the due protection of the financial entity\u2019s confidential information and redress for the business risks of the financial entity;(e)are duly and fully covered by relevant professional indemnity insurances, including against risks of misconduct and negligence.(a)such use has been approved by the relevant competent authority or by the single public authority designated in accordance with Article\\xa026(9) and\\xa0(10);(b)the relevant competent authority has verified that the financial entity has sufficient dedicated resources and ensured that conflicts of interest are avoided throughout the design and execution phases of the test; and(c)the'), Document(metadata={'source': 'Dora,', 'section': 'rct_56'}, page_content='(56)In order to achieve a high level of digital operational resilience, and in line with both the relevant international standards (e.g. the G7 Fundamental Elements for Threat-Led Penetration Testing) and with the frameworks applied in the Union, such as the TIBER-EU, financial entities should regularly test their ICT systems and staff having ICT-related responsibilities with regard to the effectiveness of their preventive, detection, response and recovery capabilities, to uncover and address potential ICT vulnerabilities. To reflect differences that exist across, and within, the various financial subsectors as regards financial entities\u2019 level of cybersecurity preparedness, testing should include a wide variety of tools and actions, ranging from the assessment of basic requirements (e.g. vulnerability assessments and scans, open source analyses, network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews'), Document(metadata={'source': 'Dora,', 'section': 'rct_43'}, page_content='entities subject to the simplified ICT risk management framework under this Regulation should be exempted from the requirement to perform advanced testing of ICT tools, systems and processes based on threat-led penetration testing (TLPT), as only financial entities meeting the criteria set out in this Regulation should be required to carry out such testing. In light of their limited capabilities, microenterprises should be able to agree with the ICT third-party service provider to delegate the financial entity\u2019s rights of access, inspection and audit to an independent third-party, to be appointed by the ICT third-party service provider, provided that the financial entity is able to request, at any time, all relevant information and assurance on the ICT third-party service provider\u2019s performance from the respective independent third-party.'), Document(metadata={'source': 'Dora,', 'section': 'rct_56'}, page_content='network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews where feasible, scenario-based tests, compatibility testing, performance testing or end-to-end testing) to more advanced testing by means of TLPT. Such advanced testing should be required only of financial entities that are mature enough from an ICT perspective to reasonably carry it out. The digital operational resilience testing required by this Regulation should thus be more demanding for those financial entities meeting the criteria set out in this Regulation (for example, large, systemic and ICT-mature credit institutions, stock exchanges, central securities depositories and central counterparties) than for other financial entities. At the same time, the digital operational resilience testing by means of TLPT should be more relevant for financial entities operating in core financial services subsectors and playing a systemic role (for example,'), Document(metadata={'source': 'Dora,', 'section': 'rct_61'}, page_content='level, this Regulation should allow the use of internal testers for the purposes of carrying out TLPT, provided there is supervisory approval, no conflicts of interest, and periodical alternation of the use of internal and external testers (every three tests), while also requiring the provider of the threat intelligence in the TLPT to always be external to the financial entity. The responsibility for conducting TLPT should remain fully with the financial entity. Attestations provided by authorities should be solely for the purpose of mutual recognition and should not preclude any follow-up action needed to address the ICT risk to which the financial entity is exposed, nor should they be seen as a supervisory endorsement of a financial entity\u2019s ICT risk management and mitigation capabilities.'), Document(metadata={'source': 'Dora,', 'section': 'art_26'}, page_content='Article\\xa026Advanced testing of ICT tools, systems and processes based on TLPT1.\\xa0\\xa0\\xa0Financial entities, other than entities referred to in Article\\xa016(1), first subparagraph, and other than microenterprises, which are identified in accordance with paragraph 8, third subparagraph, of this Article, shall carry out at least every 3 years advanced testing by means of TLPT. Based on the risk profile of the financial entity and taking into account operational circumstances, the competent authority may, where necessary, request the financial entity to reduce or increase this frequency.2.\\xa0\\xa0\\xa0Each threat-led penetration test shall cover several or all critical or important functions of a financial entity, and shall be performed on live production systems supporting such functions.Financial entities shall identify all relevant underlying ICT systems, processes and technologies supporting critical or important functions and ICT services, including those supporting the critical or important functions'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1774: RTS specifying ICT risk management tools, methods, processes, and policies and the simplified ICT risk management framework', 'section': 'art_27'}, page_content='as referred to in Article 6(6) of Regulation (EU) 2022/2554, the results of internal audits;(ii)the results of compliance assessments;(iii)results of digital operational resilience testing, and where applicable the results of advanced testing, based on threat-led penetration testing (TLPT), of ICT tools, systems, and processes;(iv)external sources.(i)for financial entities other than microenterprises as referred to in Article 6(6) of Regulation (EU) 2022/2554, the results of internal audits;(ii)the results of compliance assessments;(iii)results of digital operational resilience testing, and where applicable the results of advanced testing, based on threat-led penetration testing (TLPT), of ICT tools, systems, and processes;(iv)external sources.'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1773: RTS specifying the detailed content of the policy regarding contractual arrangements on the use of ICT services supporting critical or important functions provided by ICT third-party service providers', 'section': 'art_8'}, page_content='penetration testing, that are organised jointly with other contracting financial entities or firms that use ICT services of the same ICT third-party service provider and that are performed by those contracting financial entities or firms or by a third party appointed by them;(c)where appropriate, third-party certifications;(d)where appropriate, internal or third-party audit reports made available by the ICT third-party service provider.3.   The financial entity shall not over time rely solely on certifications referred to in paragraph 2, point (c), or audit reports referred to in point (d) of that paragraph. The policy shall only permit the use of the methods referred to in paragraph 2, points (c) and (d), where the financial entity:(a)is satisfied with the audit plan of the ICT third-party service provider for the relevant contractual arrangements;(b)ensures that the scope of the certifications or audit reports cover the systems and key controls identified by it and ensures'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html'}, page_content='financial entities. Other examples are scenario-based testing, compatibility testing and penetration testing. Selected critical entities of the financial sector are additionally supposed to conduct threat led penetration tests (TLPT), which involve hackers being allocated the task of identifying IT vulnerabilities at companies. The objective is to close any security gaps. The details of these tests will be set out in the regulatory technical standards ( RTS ) that will draw heavily on the European TIBER - EU framework. The previous German equivalent, TIBER -DE, which was voluntary, becomes obligatory through DORA. The supervisors will provide the financial entities with an attestation confirming that a TLPT was successfully performed in line with supervisory requirements. DORA provides for cross-border recognition of these attestations. But from BaFin\u2019s perspective, the TLPTs not only serve supervisory purposes; most importantly, they serve as a source of insight to the financial'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='BaFin ist zust\u00e4ndige Ausichtsbeh\u00f6rde und f\u00fcr die aufsichtlichen Aufgaben zum Thema TLPT verantwortlich, die operative Begleitung der TLPT obliegt der Deutschen Bundesbank. Testmethodik & Kooperation mit der Deutschen Bundesbank Quelle: Bundesbank und BaFin Was m\u00fcssen Sie wissen? Der Fragenkatalog vermittelt, ohne Anspruch auf Vollst\u00e4ndigkeit, einen ersten \u00dcberblick \u00fcber die wichtigsten Fragestellungen und deren Umsetzung. Dieser Fragenkatalog wird fortlaufend aktualisiert. Wie werden die Anforderungen an das Threat-Led Penetration Testing (TLPT) aus Artikel 26 und 27 DORA ab 2025 in Deutschland umgesetzt? Die wesentliche Testmethodik und die Testverfahren f\u00fcr TLPT sollen im Einklang mit dem TIBER-EU-Rahmenwerk erfolgen (Artikel 26 Absatz 11 DORA). Deshalb werden die operativen Aufgaben mit Bezug zu TLPT - wie bereits unter TIBER-DE - von der Deutschen Bundesbank wahrgenommen. Durch DORA werden solche Tests zu einem aufsichtlichen Instrument und Teil des IKT-Risikomanagementrahmens'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='solches Testprogramm soll zum Beispiel Open-Source-Software analysieren, die Netzsicherheit und die physische Sicherheit in den Finanzunternehmen pr\u00fcfen sowie Gap-Analysen, szenariobasierte Tests, Kompatibilit\u00e4tstests oder Penetrationstests umfassen. Auf diese Weise sollen die Finanzunternehmen unter anderem erkennen, wie sie auf IKT-Vorf\u00e4lle vorbereitet sind und wo sie m\u00f6glicherweise Schwachstellen in ihrer digitalen operationellen Resilienz haben. Das Testprogramm ist integraler Bestandteil des IKT-Risikomanagementrahmens eines jeden Finanzunternehmens. Threat-led Penetration Testing (TLPT) Neben den allgemeinen Anforderungen f\u00fcr das Testen der digitalen operationalen Resilienz im Rahmen des Testprogramms von Finanzunternehmen, wie es in den Artikel 24 und 25 DORA beschrieben ist, f\u00fchrt DORA ebenfalls erweiterte Tests von IKT-Tools, -Systemen und -Prozessen auf Basis von TLPT ein (Artikel 26 und 27 DORA). Threat-led Penetration Testing (TLPT) Quelle: BaFin Im Gegensatz zu den'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/DE/Fachartikel/2024/fa_bj_2402_DORA.html'}, page_content='Penetrationstests (Threat Led Penetration Tests \u2013 TLPT) durchf\u00fchren. Dabei werden Hacker damit beauftragt, IT -Schwachstellen beim Unternehmen aufzudecken. Ziel ist es, diese Sicherheitsl\u00fccken zu schlie\u00dfen. Wie die Tests konkret ausgestaltet sein sollen, wird durch technische Regulierungsstandards ( RTS ) festgelegt. Diese lehnen sich eng an das europ\u00e4ische Rahmenwerk TIBER - EU an. Das bisher freiwillige deutsche \u00c4quivalent, TIBER -DE , wird durch DORA zur Pflicht. Die Aufsicht bescheinigt den Unternehmen, dass sie einen TLPT erfolgreich und aufsichtskonform durchgef\u00fchrt haben. Diese Bescheinigungen werden grenz\u00fcberschreitend anerkannt. Aus Sicht der BaFin sollten die TLPTs aber nicht nur der Aufsicht, sondern vor allem dem Erkenntnisgewinn der jeweiligen Unternehmen dienen. Drittparteien im Blick DORA nimmt auch die Risiken in den Fokus, die entstehen k\u00f6nnen, wenn Unternehmen des Finanzmarkts IKT-Drittdienstleister nutzen. Die Unternehmen, die diese Dienstleistungen nutzen, m\u00fcssen'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='Kriterien RTS Quelle: BaFin Technischer Regulierungsstandard (RTS) zu TLPT Im Rahmen der europ\u00e4ischen Umsetzungsarbeiten zu DORA wurden die ESAs \u00fcber den Gemeinsamen Ausschuss und im Einvernehmen mit der EZB gem\u00e4\u00df Artikel 26 Absatz 11 DORA erm\u00e4chtigt, einen RTS-Entwurf zu bestimmten Aspekten der fortgeschrittenen Pr\u00fcfung von IKT-Werkzeugen, -Systemen und -Prozessen auf der Grundlage von TLPT in \u00dcbereinstimmung mit dem TIBER-EU-Rahmen vorzulegen. Dieser wurde am 17. Juli 2024 von den ESAs an die europ\u00e4ische Kommission \u00fcbermittelt (LINK) und wird dort nun gepr\u00fcft. Nach Ver\u00f6ffentlichung im Amtsblatt der EU wird er in Kraft treten. Das Mandat dieses RTS umfasst: a) die f\u00fcr die Zwecke der Identifikation von Finanzunternehmen zur Durchf\u00fchrung von TLPT nach Artikel 26 Absatz 8 DORA herangezogenen Kriterien; b) die Anforderungen und Standards f\u00fcr den Einsatz interner Tester; c) die Anforderungen hinsichtlich: i) des Testumfang von TLPT; ii) der Testmethodik und des Testkonzepts f\u00fcr jede'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='f\u00fchrt DORA ebenfalls erweiterte Tests von IKT-Tools, -Systemen und -Prozessen auf Basis von TLPT ein (Artikel 26 und 27 DORA). Threat-led Penetration Testing (TLPT) Quelle: BaFin Im Gegensatz zu den allgemeinen Anforderungen f\u00fcr das Testen gelten die erweiterten Tests auf Basis von TLPT nur f\u00fcr eine kleine Anzahl an Finanzunternehmen, die anhand der Kriterien von Artikel 26 Absatz 8 Unterabsatz 3 DORA identifiziert werden. Diese identifizierten Unternehmen werden von der BaFin als zust\u00e4ndigen Aufsichtsbeh\u00f6rde oder im Falle von signifikanten Kreditinstituten von der EZB durch einen Identifikationsbescheid \u00fcber ihre Verpflichtung zur Durchf\u00fchrung eines TLPT informiert. Die Kriterien sind in Artikel 26 Absatz 8 Unterabsatz 3 DORA beschrieben. Bei der Identifikation von Finanzunternehmen, die TLPT durchzuf\u00fchren haben, sollen sich zust\u00e4ndige Beh\u00f6rden neben dem allgemeinen Proportionalit\u00e4tsgrundsatz im Sinne von Artikel 4 Absatz 2 DORA auf die Bewertung folgender Kriterien st\u00fctzen: a)')]. Please respond with a clear, concise, and precise answer, strictly based on the provided context. Ensure your response is accurate and always cite sources from the context. Do not introduce any new information or alter the context in any way.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "max_tokens": 4096, "model_name": "gpt-4-turbo", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.2}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('stop', None)]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"text": "The TIBER-EU framework and DORA's requirements for threat-led penetration testing (TLPT) share a common goal of enhancing the cybersecurity resilience of financial entities but differ in their implementation and regulatory context.\n\n1. **Voluntary vs. Mandatory Implementation**:\n   - **TIBER-EU**: Initially, the TIBER-EU framework was voluntary for financial entities to adopt. It provided a guideline for conducting threat-led penetration testing to identify and mitigate cybersecurity risks.\n   - **DORA**: Under DORA (Digital Operational Resilience Act), the implementation of TLPT becomes mandatory for certain financial entities. DORA formalizes the requirements and makes them a regulatory obligation for identified financial entities, particularly those playing a systemic role in the financial sector (source: https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html).\n\n2. **Scope and Application**:\n   - **TIBER-EU**: The framework is designed to be used across the EU by various financial entities on a voluntary basis, allowing flexibility in adoption based on the entity's specific needs and threat landscape.\n   - **DORA**: DORA specifies that TLPT must be conducted by financial entities identified under specific criteria set out in the regulation. This includes entities that are large, systemic, and ICT-mature, such as credit institutions, stock exchanges, and central securities depositories (source: Document, rct_56).\n\n3. **Regulatory Oversight and Supervision**:\n   - **TIBER-EU**: While providing a structured framework, TIBER-EU leaves much of the oversight and implementation details to the entities themselves, promoting a cooperative approach between entities and national authorities.\n   - **DORA**: Introduces a more stringent supervisory framework where financial entities are required to conduct TLPT under the supervision of relevant authorities. DORA also provides for cross-border recognition of TLPT attestations, ensuring that tests conducted in one member state are recognized throughout the EU (source: https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html).\n\n4. **Integration with Regulatory Technical Standards (RTS)**:\n   - **TIBER-EU**: Serves as a guideline that can be adapted and integrated into broader cybersecurity strategies without specific regulatory technical standards.\n   - **DORA**: The requirements for TLPT are integrated into the broader regulatory framework of DORA, with specific technical standards developed to ensure uniformity and compliance across the EU (source: Document, https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html).\n\nIn summary, while both TIBER-EU and DORA focus on enhancing the cybersecurity resilience of financial entities through TLPT, DORA formalizes these practices into a mandatory, regulated framework with specific obligations, broader scope, and stricter supervisory mechanisms.", "generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "The TIBER-EU framework and DORA's requirements for threat-led penetration testing (TLPT) share a common goal of enhancing the cybersecurity resilience of financial entities but differ in their implementation and regulatory context.\n\n1. **Voluntary vs. Mandatory Implementation**:\n   - **TIBER-EU**: Initially, the TIBER-EU framework was voluntary for financial entities to adopt. It provided a guideline for conducting threat-led penetration testing to identify and mitigate cybersecurity risks.\n   - **DORA**: Under DORA (Digital Operational Resilience Act), the implementation of TLPT becomes mandatory for certain financial entities. DORA formalizes the requirements and makes them a regulatory obligation for identified financial entities, particularly those playing a systemic role in the financial sector (source: https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html).\n\n2. **Scope and Application**:\n   - **TIBER-EU**: The framework is designed to be used across the EU by various financial entities on a voluntary basis, allowing flexibility in adoption based on the entity's specific needs and threat landscape.\n   - **DORA**: DORA specifies that TLPT must be conducted by financial entities identified under specific criteria set out in the regulation. This includes entities that are large, systemic, and ICT-mature, such as credit institutions, stock exchanges, and central securities depositories (source: Document, rct_56).\n\n3. **Regulatory Oversight and Supervision**:\n   - **TIBER-EU**: While providing a structured framework, TIBER-EU leaves much of the oversight and implementation details to the entities themselves, promoting a cooperative approach between entities and national authorities.\n   - **DORA**: Introduces a more stringent supervisory framework where financial entities are required to conduct TLPT under the supervision of relevant authorities. DORA also provides for cross-border recognition of TLPT attestations, ensuring that tests conducted in one member state are recognized throughout the EU (source: https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html).\n\n4. **Integration with Regulatory Technical Standards (RTS)**:\n   - **TIBER-EU**: Serves as a guideline that can be adapted and integrated into broader cybersecurity strategies without specific regulatory technical standards.\n   - **DORA**: The requirements for TLPT are integrated into the broader regulatory framework of DORA, with specific technical standards developed to ensure uniformity and compliance across the EU (source: Document, https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html).\n\nIn summary, while both TIBER-EU and DORA focus on enhancing the cybersecurity resilience of financial entities through TLPT, DORA formalizes these practices into a mandatory, regulated framework with specific obligations, broader scope, and stricter supervisory mechanisms.", "additional_kwargs": {"refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 629, "prompt_tokens": 3570, "total_tokens": 4199, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-4-turbo-2024-04-09", "system_fingerprint": "fp_5db30363ff", "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-d65acfb8-6b9d-4e0f-a86a-04f408d55eb0-0", "usage_metadata": {"input_tokens": 3570, "output_tokens": 629, "total_tokens": 4199}, "tool_calls": [], "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing whether an LLM generation is grounded in / supported by a set of retrieved facts. \n \n     Give a binary score 'yes' or 'no'. 'Yes' means that the answer is grounded in / supported by the set of facts.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Set of facts: \n\n [Document(metadata={'source': 'Dora,', 'section': 'art_27'}, page_content='specific expertise in threat intelligence, penetration testing and red team testing;(c)are certified by an accreditation body in a Member State or adhere to formal codes of conduct or ethical frameworks;(d)provide an independent assurance, or an audit report, in relation to the sound management of risks associated with the carrying out of TLPT, including the due protection of the financial entity\u2019s confidential information and redress for the business risks of the financial entity;(e)are duly and fully covered by relevant professional indemnity insurances, including against risks of misconduct and negligence.(a)such use has been approved by the relevant competent authority or by the single public authority designated in accordance with Article\\xa026(9) and\\xa0(10);(b)the relevant competent authority has verified that the financial entity has sufficient dedicated resources and ensured that conflicts of interest are avoided throughout the design and execution phases of the test; and(c)the'), Document(metadata={'source': 'Dora,', 'section': 'rct_56'}, page_content='(56)In order to achieve a high level of digital operational resilience, and in line with both the relevant international standards (e.g. the G7 Fundamental Elements for Threat-Led Penetration Testing) and with the frameworks applied in the Union, such as the TIBER-EU, financial entities should regularly test their ICT systems and staff having ICT-related responsibilities with regard to the effectiveness of their preventive, detection, response and recovery capabilities, to uncover and address potential ICT vulnerabilities. To reflect differences that exist across, and within, the various financial subsectors as regards financial entities\u2019 level of cybersecurity preparedness, testing should include a wide variety of tools and actions, ranging from the assessment of basic requirements (e.g. vulnerability assessments and scans, open source analyses, network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews'), Document(metadata={'source': 'Dora,', 'section': 'rct_43'}, page_content='entities subject to the simplified ICT risk management framework under this Regulation should be exempted from the requirement to perform advanced testing of ICT tools, systems and processes based on threat-led penetration testing (TLPT), as only financial entities meeting the criteria set out in this Regulation should be required to carry out such testing. In light of their limited capabilities, microenterprises should be able to agree with the ICT third-party service provider to delegate the financial entity\u2019s rights of access, inspection and audit to an independent third-party, to be appointed by the ICT third-party service provider, provided that the financial entity is able to request, at any time, all relevant information and assurance on the ICT third-party service provider\u2019s performance from the respective independent third-party.'), Document(metadata={'source': 'Dora,', 'section': 'rct_56'}, page_content='network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews where feasible, scenario-based tests, compatibility testing, performance testing or end-to-end testing) to more advanced testing by means of TLPT. Such advanced testing should be required only of financial entities that are mature enough from an ICT perspective to reasonably carry it out. The digital operational resilience testing required by this Regulation should thus be more demanding for those financial entities meeting the criteria set out in this Regulation (for example, large, systemic and ICT-mature credit institutions, stock exchanges, central securities depositories and central counterparties) than for other financial entities. At the same time, the digital operational resilience testing by means of TLPT should be more relevant for financial entities operating in core financial services subsectors and playing a systemic role (for example,'), Document(metadata={'source': 'Dora,', 'section': 'rct_61'}, page_content='level, this Regulation should allow the use of internal testers for the purposes of carrying out TLPT, provided there is supervisory approval, no conflicts of interest, and periodical alternation of the use of internal and external testers (every three tests), while also requiring the provider of the threat intelligence in the TLPT to always be external to the financial entity. The responsibility for conducting TLPT should remain fully with the financial entity. Attestations provided by authorities should be solely for the purpose of mutual recognition and should not preclude any follow-up action needed to address the ICT risk to which the financial entity is exposed, nor should they be seen as a supervisory endorsement of a financial entity\u2019s ICT risk management and mitigation capabilities.'), Document(metadata={'source': 'Dora,', 'section': 'art_26'}, page_content='Article\\xa026Advanced testing of ICT tools, systems and processes based on TLPT1.\\xa0\\xa0\\xa0Financial entities, other than entities referred to in Article\\xa016(1), first subparagraph, and other than microenterprises, which are identified in accordance with paragraph 8, third subparagraph, of this Article, shall carry out at least every 3 years advanced testing by means of TLPT. Based on the risk profile of the financial entity and taking into account operational circumstances, the competent authority may, where necessary, request the financial entity to reduce or increase this frequency.2.\\xa0\\xa0\\xa0Each threat-led penetration test shall cover several or all critical or important functions of a financial entity, and shall be performed on live production systems supporting such functions.Financial entities shall identify all relevant underlying ICT systems, processes and technologies supporting critical or important functions and ICT services, including those supporting the critical or important functions'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1774: RTS specifying ICT risk management tools, methods, processes, and policies and the simplified ICT risk management framework', 'section': 'art_27'}, page_content='as referred to in Article 6(6) of Regulation (EU) 2022/2554, the results of internal audits;(ii)the results of compliance assessments;(iii)results of digital operational resilience testing, and where applicable the results of advanced testing, based on threat-led penetration testing (TLPT), of ICT tools, systems, and processes;(iv)external sources.(i)for financial entities other than microenterprises as referred to in Article 6(6) of Regulation (EU) 2022/2554, the results of internal audits;(ii)the results of compliance assessments;(iii)results of digital operational resilience testing, and where applicable the results of advanced testing, based on threat-led penetration testing (TLPT), of ICT tools, systems, and processes;(iv)external sources.'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1773: RTS specifying the detailed content of the policy regarding contractual arrangements on the use of ICT services supporting critical or important functions provided by ICT third-party service providers', 'section': 'art_8'}, page_content='penetration testing, that are organised jointly with other contracting financial entities or firms that use ICT services of the same ICT third-party service provider and that are performed by those contracting financial entities or firms or by a third party appointed by them;(c)where appropriate, third-party certifications;(d)where appropriate, internal or third-party audit reports made available by the ICT third-party service provider.3.   The financial entity shall not over time rely solely on certifications referred to in paragraph 2, point (c), or audit reports referred to in point (d) of that paragraph. The policy shall only permit the use of the methods referred to in paragraph 2, points (c) and (d), where the financial entity:(a)is satisfied with the audit plan of the ICT third-party service provider for the relevant contractual arrangements;(b)ensures that the scope of the certifications or audit reports cover the systems and key controls identified by it and ensures'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html'}, page_content='financial entities. Other examples are scenario-based testing, compatibility testing and penetration testing. Selected critical entities of the financial sector are additionally supposed to conduct threat led penetration tests (TLPT), which involve hackers being allocated the task of identifying IT vulnerabilities at companies. The objective is to close any security gaps. The details of these tests will be set out in the regulatory technical standards ( RTS ) that will draw heavily on the European TIBER - EU framework. The previous German equivalent, TIBER -DE, which was voluntary, becomes obligatory through DORA. The supervisors will provide the financial entities with an attestation confirming that a TLPT was successfully performed in line with supervisory requirements. DORA provides for cross-border recognition of these attestations. But from BaFin\u2019s perspective, the TLPTs not only serve supervisory purposes; most importantly, they serve as a source of insight to the financial'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='BaFin ist zust\u00e4ndige Ausichtsbeh\u00f6rde und f\u00fcr die aufsichtlichen Aufgaben zum Thema TLPT verantwortlich, die operative Begleitung der TLPT obliegt der Deutschen Bundesbank. Testmethodik & Kooperation mit der Deutschen Bundesbank Quelle: Bundesbank und BaFin Was m\u00fcssen Sie wissen? Der Fragenkatalog vermittelt, ohne Anspruch auf Vollst\u00e4ndigkeit, einen ersten \u00dcberblick \u00fcber die wichtigsten Fragestellungen und deren Umsetzung. Dieser Fragenkatalog wird fortlaufend aktualisiert. Wie werden die Anforderungen an das Threat-Led Penetration Testing (TLPT) aus Artikel 26 und 27 DORA ab 2025 in Deutschland umgesetzt? Die wesentliche Testmethodik und die Testverfahren f\u00fcr TLPT sollen im Einklang mit dem TIBER-EU-Rahmenwerk erfolgen (Artikel 26 Absatz 11 DORA). Deshalb werden die operativen Aufgaben mit Bezug zu TLPT - wie bereits unter TIBER-DE - von der Deutschen Bundesbank wahrgenommen. Durch DORA werden solche Tests zu einem aufsichtlichen Instrument und Teil des IKT-Risikomanagementrahmens'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='solches Testprogramm soll zum Beispiel Open-Source-Software analysieren, die Netzsicherheit und die physische Sicherheit in den Finanzunternehmen pr\u00fcfen sowie Gap-Analysen, szenariobasierte Tests, Kompatibilit\u00e4tstests oder Penetrationstests umfassen. Auf diese Weise sollen die Finanzunternehmen unter anderem erkennen, wie sie auf IKT-Vorf\u00e4lle vorbereitet sind und wo sie m\u00f6glicherweise Schwachstellen in ihrer digitalen operationellen Resilienz haben. Das Testprogramm ist integraler Bestandteil des IKT-Risikomanagementrahmens eines jeden Finanzunternehmens. Threat-led Penetration Testing (TLPT) Neben den allgemeinen Anforderungen f\u00fcr das Testen der digitalen operationalen Resilienz im Rahmen des Testprogramms von Finanzunternehmen, wie es in den Artikel 24 und 25 DORA beschrieben ist, f\u00fchrt DORA ebenfalls erweiterte Tests von IKT-Tools, -Systemen und -Prozessen auf Basis von TLPT ein (Artikel 26 und 27 DORA). Threat-led Penetration Testing (TLPT) Quelle: BaFin Im Gegensatz zu den'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/DE/Fachartikel/2024/fa_bj_2402_DORA.html'}, page_content='Penetrationstests (Threat Led Penetration Tests \u2013 TLPT) durchf\u00fchren. Dabei werden Hacker damit beauftragt, IT -Schwachstellen beim Unternehmen aufzudecken. Ziel ist es, diese Sicherheitsl\u00fccken zu schlie\u00dfen. Wie die Tests konkret ausgestaltet sein sollen, wird durch technische Regulierungsstandards ( RTS ) festgelegt. Diese lehnen sich eng an das europ\u00e4ische Rahmenwerk TIBER - EU an. Das bisher freiwillige deutsche \u00c4quivalent, TIBER -DE , wird durch DORA zur Pflicht. Die Aufsicht bescheinigt den Unternehmen, dass sie einen TLPT erfolgreich und aufsichtskonform durchgef\u00fchrt haben. Diese Bescheinigungen werden grenz\u00fcberschreitend anerkannt. Aus Sicht der BaFin sollten die TLPTs aber nicht nur der Aufsicht, sondern vor allem dem Erkenntnisgewinn der jeweiligen Unternehmen dienen. Drittparteien im Blick DORA nimmt auch die Risiken in den Fokus, die entstehen k\u00f6nnen, wenn Unternehmen des Finanzmarkts IKT-Drittdienstleister nutzen. Die Unternehmen, die diese Dienstleistungen nutzen, m\u00fcssen'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='Kriterien RTS Quelle: BaFin Technischer Regulierungsstandard (RTS) zu TLPT Im Rahmen der europ\u00e4ischen Umsetzungsarbeiten zu DORA wurden die ESAs \u00fcber den Gemeinsamen Ausschuss und im Einvernehmen mit der EZB gem\u00e4\u00df Artikel 26 Absatz 11 DORA erm\u00e4chtigt, einen RTS-Entwurf zu bestimmten Aspekten der fortgeschrittenen Pr\u00fcfung von IKT-Werkzeugen, -Systemen und -Prozessen auf der Grundlage von TLPT in \u00dcbereinstimmung mit dem TIBER-EU-Rahmen vorzulegen. Dieser wurde am 17. Juli 2024 von den ESAs an die europ\u00e4ische Kommission \u00fcbermittelt (LINK) und wird dort nun gepr\u00fcft. Nach Ver\u00f6ffentlichung im Amtsblatt der EU wird er in Kraft treten. Das Mandat dieses RTS umfasst: a) die f\u00fcr die Zwecke der Identifikation von Finanzunternehmen zur Durchf\u00fchrung von TLPT nach Artikel 26 Absatz 8 DORA herangezogenen Kriterien; b) die Anforderungen und Standards f\u00fcr den Einsatz interner Tester; c) die Anforderungen hinsichtlich: i) des Testumfang von TLPT; ii) der Testmethodik und des Testkonzepts f\u00fcr jede'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='f\u00fchrt DORA ebenfalls erweiterte Tests von IKT-Tools, -Systemen und -Prozessen auf Basis von TLPT ein (Artikel 26 und 27 DORA). Threat-led Penetration Testing (TLPT) Quelle: BaFin Im Gegensatz zu den allgemeinen Anforderungen f\u00fcr das Testen gelten die erweiterten Tests auf Basis von TLPT nur f\u00fcr eine kleine Anzahl an Finanzunternehmen, die anhand der Kriterien von Artikel 26 Absatz 8 Unterabsatz 3 DORA identifiziert werden. Diese identifizierten Unternehmen werden von der BaFin als zust\u00e4ndigen Aufsichtsbeh\u00f6rde oder im Falle von signifikanten Kreditinstituten von der EZB durch einen Identifikationsbescheid \u00fcber ihre Verpflichtung zur Durchf\u00fchrung eines TLPT informiert. Die Kriterien sind in Artikel 26 Absatz 8 Unterabsatz 3 DORA beschrieben. Bei der Identifikation von Finanzunternehmen, die TLPT durchzuf\u00fchren haben, sollen sich zust\u00e4ndige Beh\u00f6rden neben dem allgemeinen Proportionalit\u00e4tsgrundsatz im Sinne von Artikel 4 Absatz 2 DORA auf die Bewertung folgender Kriterien st\u00fctzen: a)')] \n\n LLM generation: The TIBER-EU framework and DORA's requirements for threat-led penetration testing (TLPT) share a common goal of enhancing the cybersecurity resilience of financial entities but differ in their implementation and regulatory context.\n\n1. **Voluntary vs. Mandatory Implementation**:\n   - **TIBER-EU**: Initially, the TIBER-EU framework was voluntary for financial entities to adopt. It provided a guideline for conducting threat-led penetration testing to identify and mitigate cybersecurity risks.\n   - **DORA**: Under DORA (Digital Operational Resilience Act), the implementation of TLPT becomes mandatory for certain financial entities. DORA formalizes the requirements and makes them a regulatory obligation for identified financial entities, particularly those playing a systemic role in the financial sector (source: https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html).\n\n2. **Scope and Application**:\n   - **TIBER-EU**: The framework is designed to be used across the EU by various financial entities on a voluntary basis, allowing flexibility in adoption based on the entity's specific needs and threat landscape.\n   - **DORA**: DORA specifies that TLPT must be conducted by financial entities identified under specific criteria set out in the regulation. This includes entities that are large, systemic, and ICT-mature, such as credit institutions, stock exchanges, and central securities depositories (source: Document, rct_56).\n\n3. **Regulatory Oversight and Supervision**:\n   - **TIBER-EU**: While providing a structured framework, TIBER-EU leaves much of the oversight and implementation details to the entities themselves, promoting a cooperative approach between entities and national authorities.\n   - **DORA**: Introduces a more stringent supervisory framework where financial entities are required to conduct TLPT under the supervision of relevant authorities. DORA also provides for cross-border recognition of TLPT attestations, ensuring that tests conducted in one member state are recognized throughout the EU (source: https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html).\n\n4. **Integration with Regulatory Technical Standards (RTS)**:\n   - **TIBER-EU**: Serves as a guideline that can be adapted and integrated into broader cybersecurity strategies without specific regulatory technical standards.\n   - **DORA**: The requirements for TLPT are integrated into the broader regulatory framework of DORA, with specific technical standards developed to ensure uniformity and compliance across the EU (source: Document, https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html).\n\nIn summary, while both TIBER-EU and DORA focus on enhancing the cybersecurity resilience of financial entities through TLPT, DORA formalizes these practices into a mandatory, regulated framework with specific obligations, broader scope, and stricter supervisory mechanisms.", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-3.5-turbo", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('parallel_tool_calls', False), ('stop', None), ('tool_choice', {'type': 'function', 'function': {'name': 'GradeHallucinations'}}), ('tools', [{'type': 'function', 'function': {'name': 'GradeHallucinations', 'description': 'Binary score for hallucination present in generation answer.', 'parameters': {'properties': {'binary_score': {'description': "Answer is grounded in the facts, 'yes' or 'no'", 'type': 'string'}}, 'required': ['binary_score'], 'type': 'object'}}}])]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_WUkBfxR0Og6cXZuoirQci1LG", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeHallucinations"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 4217, "total_tokens": 4223, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-f909277c-53b4-485a-97a9-1ca4e0a63dd9-0", "tool_calls": [{"name": "GradeHallucinations", "args": {"binary_score": "yes"}, "id": "call_WUkBfxR0Og6cXZuoirQci1LG", "type": "tool_call"}], "usage_metadata": {"input_tokens": 4217, "output_tokens": 6, "total_tokens": 4223}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing whether an answer addresses / resolves a question \n \n     Give a binary score 'yes' or 'no'. Yes' means that the answer resolves the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "User question: \n\n What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements? \n\n LLM generation: The TIBER-EU framework and DORA's requirements for threat-led penetration testing (TLPT) share a common goal of enhancing the cybersecurity resilience of financial entities but differ in their implementation and regulatory context.\n\n1. **Voluntary vs. Mandatory Implementation**:\n   - **TIBER-EU**: Initially, the TIBER-EU framework was voluntary for financial entities to adopt. It provided a guideline for conducting threat-led penetration testing to identify and mitigate cybersecurity risks.\n   - **DORA**: Under DORA (Digital Operational Resilience Act), the implementation of TLPT becomes mandatory for certain financial entities. DORA formalizes the requirements and makes them a regulatory obligation for identified financial entities, particularly those playing a systemic role in the financial sector (source: https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html).\n\n2. **Scope and Application**:\n   - **TIBER-EU**: The framework is designed to be used across the EU by various financial entities on a voluntary basis, allowing flexibility in adoption based on the entity's specific needs and threat landscape.\n   - **DORA**: DORA specifies that TLPT must be conducted by financial entities identified under specific criteria set out in the regulation. This includes entities that are large, systemic, and ICT-mature, such as credit institutions, stock exchanges, and central securities depositories (source: Document, rct_56).\n\n3. **Regulatory Oversight and Supervision**:\n   - **TIBER-EU**: While providing a structured framework, TIBER-EU leaves much of the oversight and implementation details to the entities themselves, promoting a cooperative approach between entities and national authorities.\n   - **DORA**: Introduces a more stringent supervisory framework where financial entities are required to conduct TLPT under the supervision of relevant authorities. DORA also provides for cross-border recognition of TLPT attestations, ensuring that tests conducted in one member state are recognized throughout the EU (source: https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html).\n\n4. **Integration with Regulatory Technical Standards (RTS)**:\n   - **TIBER-EU**: Serves as a guideline that can be adapted and integrated into broader cybersecurity strategies without specific regulatory technical standards.\n   - **DORA**: The requirements for TLPT are integrated into the broader regulatory framework of DORA, with specific technical standards developed to ensure uniformity and compliance across the EU (source: Document, https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html).\n\nIn summary, while both TIBER-EU and DORA focus on enhancing the cybersecurity resilience of financial entities through TLPT, DORA formalizes these practices into a mandatory, regulated framework with specific obligations, broader scope, and stricter supervisory mechanisms.", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-3.5-turbo", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('parallel_tool_calls', False), ('stop', None), ('tool_choice', {'type': 'function', 'function': {'name': 'GradeAnswer'}}), ('tools', [{'type': 'function', 'function': {'name': 'GradeAnswer', 'description': 'Binary score to assess answer addresses question.', 'parameters': {'properties': {'binary_score': {'description': "Answer addresses the question, 'yes' or 'no'", 'type': 'string'}}, 'required': ['binary_score'], 'type': 'object'}}}])]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_OsPcVGWsMiR6APJMZ8Yshx9t", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeAnswer"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 772, "total_tokens": 778, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-b712b164-8580-442f-8dca-46bb777a2325-0", "tool_calls": [{"name": "GradeAnswer", "args": {"binary_score": "yes"}, "id": "call_OsPcVGWsMiR6APJMZ8Yshx9t", "type": "tool_call"}], "usage_metadata": {"input_tokens": 772, "output_tokens": 6, "total_tokens": 778}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "\n        You are a question rewriter that optimizes an input question for better retrieval from vectorstore data containing information security regulatory texts, especially tha digital operations security acrt (DORA).\n        The regulatory texts in the vectorstore mainly address the following topics: ['ICT strategy management', 'IT governance management & internal controls system', 'Internal audit & compliance management', 'ICT asset & architecture management', 'ICT risk management', 'Information security & human resource security management', 'IT configuration management', 'Cryptography, certificates & key management', 'Secure network & infrastructure management', 'Backup', 'Security testing', 'Threat-led penetration testing', 'Logging', 'Data and ICT system security', 'Physical and environmental security', 'Vulnerability & patch management', 'Identity and access management', 'ICT change management', 'IT project & project portfolio management', 'Acquisition, development & maintenance of ICT systems & EUA', 'ICT incident management', 'Monitoring, availability, capacity & performance management', 'ICT outsourcing & third-party risk management', 'Subcontracting management', 'ICT provider & service level management', 'ICT business continuity management'].\n        Your goal is to understand the underlying semantic intent of the input question and reformulate it to improve clarity and relevance for retrieving content on ['ICT strategy management', 'IT governance management & internal controls system', 'Internal audit & compliance management', 'ICT asset & architecture management', 'ICT risk management', 'Information security & human resource security management', 'IT configuration management', 'Cryptography, certificates & key management', 'Secure network & infrastructure management', 'Backup', 'Security testing', 'Threat-led penetration testing', 'Logging', 'Data and ICT system security', 'Physical and environmental security', 'Vulnerability & patch management', 'Identity and access management', 'ICT change management', 'IT project & project portfolio management', 'Acquisition, development & maintenance of ICT systems & EUA', 'ICT incident management', 'Monitoring, availability, capacity & performance management', 'ICT outsourcing & third-party risk management', 'Subcontracting management', 'ICT provider & service level management', 'ICT business continuity management'].\n        If the question is not related to any of the topics or information security regulatory texts, simply answer: \"Thats an interesting question, but I dont think I can answer it based on my Dora knowledge.\"\n        ", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Here is the initial question: \n\nIch hatte einen Ransomwarevorfall mit erheblichen Auswirkungen auf den Gesch\u00e4ftsbetrieb. Muss ich etwas melden? \nPlease formulate an improved version of the question, focusing on clarity and retrieval optimization.", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-4o", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('stop', None)]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"text": "How does the Digital Operations Security Act (DORA) address the reporting requirements for a ransomware incident that significantly impacts business operations?", "generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "How does the Digital Operations Security Act (DORA) address the reporting requirements for a ransomware incident that significantly impacts business operations?", "additional_kwargs": {"refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 25, "prompt_tokens": 533, "total_tokens": 558, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-4o-2024-08-06", "system_fingerprint": "fp_159d8341cc", "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-36d3a2a4-5c49-4aee-9501-67099db08f03-0", "usage_metadata": {"input_tokens": 533, "output_tokens": 25, "total_tokens": 558}, "tool_calls": [], "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "\n        You are a question rewriter that optimizes an input question for better retrieval from vectorstore data containing information security regulatory texts, especially tha digital operations security acrt (DORA).\n        The regulatory texts in the vectorstore mainly address the following topics: ['ICT strategy management', 'IT governance management & internal controls system', 'Internal audit & compliance management', 'ICT asset & architecture management', 'ICT risk management', 'Information security & human resource security management', 'IT configuration management', 'Cryptography, certificates & key management', 'Secure network & infrastructure management', 'Backup', 'Security testing', 'Threat-led penetration testing', 'Logging', 'Data and ICT system security', 'Physical and environmental security', 'Vulnerability & patch management', 'Identity and access management', 'ICT change management', 'IT project & project portfolio management', 'Acquisition, development & maintenance of ICT systems & EUA', 'ICT incident management', 'Monitoring, availability, capacity & performance management', 'ICT outsourcing & third-party risk management', 'Subcontracting management', 'ICT provider & service level management', 'ICT business continuity management'].\n        Your goal is to understand the underlying semantic intent of the input question and reformulate it to improve clarity and relevance for retrieving content on ['ICT strategy management', 'IT governance management & internal controls system', 'Internal audit & compliance management', 'ICT asset & architecture management', 'ICT risk management', 'Information security & human resource security management', 'IT configuration management', 'Cryptography, certificates & key management', 'Secure network & infrastructure management', 'Backup', 'Security testing', 'Threat-led penetration testing', 'Logging', 'Data and ICT system security', 'Physical and environmental security', 'Vulnerability & patch management', 'Identity and access management', 'ICT change management', 'IT project & project portfolio management', 'Acquisition, development & maintenance of ICT systems & EUA', 'ICT incident management', 'Monitoring, availability, capacity & performance management', 'ICT outsourcing & third-party risk management', 'Subcontracting management', 'ICT provider & service level management', 'ICT business continuity management'].\n        If the question is not related to any of the topics or information security regulatory texts, simply answer: \"Thats an interesting question, but I dont think I can answer it based on my Dora knowledge.\"\n        ", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Here is the initial question: \n\nIch m\u00f6chte ein SIEM einf\u00fchren. Bitte gib mir eine Checkliste, was ich beachten muss. \nPlease formulate an improved version of the question, focusing on clarity and retrieval optimization.", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"text": "How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "additional_kwargs": {"refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 42, "prompt_tokens": 529, "total_tokens": 571, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-4o-2024-08-06", "system_fingerprint": "fp_159d8341cc", "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-db3e27f5-1a0c-4cbe-8e69-b0f6c043e546-0", "usage_metadata": {"input_tokens": 529, "output_tokens": 42, "total_tokens": 571}, "tool_calls": [], "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n Nonetheless, provisions tackling digital operational resilience and ICT security are not yet fully or consistently harmonised, despite digital operational resilience being vital for ensuring financial stability and market integrity in the digital age, and no less important than, for example, common prudential or market conduct standards. The Single Rulebook and system of supervision should therefore be developed to also cover digital operational resilience, by strengthening the mandates of competent authorities to enable them to supervise the management of ICT risk in the financial sector in order to protect the integrity and efficiency of the internal market, and to facilitate its orderly functioning. \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_vHaicPkv0IlMW8T0GzYlhtBr", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 327, "total_tokens": 333, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-07f6e454-33c5-49c0-a5d8-59976f8c0b45-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_vHaicPkv0IlMW8T0GzYlhtBr", "type": "tool_call"}], "usage_metadata": {"input_tokens": 327, "output_tokens": 6, "total_tokens": 333}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n (56)In order to achieve a high level of digital operational resilience, and in line with both the relevant international standards (e.g. the G7 Fundamental Elements for Threat-Led Penetration Testing) and with the frameworks applied in the Union, such as the TIBER-EU, financial entities should regularly test their ICT systems and staff having ICT-related responsibilities with regard to the effectiveness of their preventive, detection, response and recovery capabilities, to uncover and address potential ICT vulnerabilities. To reflect differences that exist across, and within, the various financial subsectors as regards financial entities\u2019 level of cybersecurity preparedness, testing should include a wide variety of tools and actions, ranging from the assessment of basic requirements (e.g. vulnerability assessments and scans, open source analyses, network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_8yCzeePwJQ3tMcuJsVYDY0nv", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 388, "total_tokens": 394, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-441613b6-effd-4f23-84cf-4cc1ace12928-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_8yCzeePwJQ3tMcuJsVYDY0nv", "type": "tool_call"}], "usage_metadata": {"input_tokens": 388, "output_tokens": 6, "total_tokens": 394}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n formal follow-up process, including rules for the timely verification and remediation of critical ICT audit findings.8.\u00a0\u00a0\u00a0The ICT risk management framework shall include a digital operational resilience strategy setting out how the framework shall be implemented. To that end, the digital operational resilience strategy shall include methods to address ICT risk and attain specific ICT objectives, by:(a)explaining how the ICT risk management framework supports the financial entity\u2019s business strategy and objectives;(b)establishing the risk tolerance level for ICT risk, in accordance with the risk appetite of the financial entity, and analysing the impact tolerance for ICT disruptions;(c)setting out clear information security objectives, including key performance indicators and key risk metrics;(d)explaining the ICT reference architecture and any changes needed to reach specific business objectives;(e)outlining the different mechanisms put in place to detect ICT-related incidents, \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_v0u6Bi0FXcA5VGLbJ7zUfG7W", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 386, "total_tokens": 392, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-e429fd0a-4b28-458c-aa21-93f51b6d8482-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_v0u6Bi0FXcA5VGLbJ7zUfG7W", "type": "tool_call"}], "usage_metadata": {"input_tokens": 386, "output_tokens": 6, "total_tokens": 392}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n digital operational resilience needs in respect of all types of resources, including relevant ICT security awareness programmes and digital operational resilience training referred to in Article\u00a013(6), and ICT skills for all staff;(h)approve and periodically review the financial entity\u2019s policy on arrangements regarding the use of ICT services provided by ICT third-party service providers;(i)put in place, at corporate level, reporting channels enabling it to be duly informed of the following:(i)arrangements concluded with ICT third-party service providers on the use of ICT services,(ii)any relevant planned material changes regarding the ICT third-party service providers,(iii)the potential impact of such changes on the critical or important functions subject to those arrangements, including a risk analysis summary to assess the impact of those changes, and at least major ICT-related incidents and their impact, as well as response, recovery and corrective measures.3.\u00a0\u00a0\u00a0Financial \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_ktSmRWNZqiaDC0J2NU9kPRsI", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 392, "total_tokens": 398, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-4d926242-3e3c-4a4d-8dc0-614a931dd640-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_ktSmRWNZqiaDC0J2NU9kPRsI", "type": "tool_call"}], "usage_metadata": {"input_tokens": 392, "output_tokens": 6, "total_tokens": 398}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n Article\u00a024General requirements for the performance of digital operational resilience testing1.\u00a0\u00a0\u00a0For the purpose of assessing preparedness for handling ICT-related incidents, of identifying weaknesses, deficiencies and gaps in digital operational resilience, and of promptly implementing corrective measures, financial entities, other than microenterprises, shall, taking into account the criteria set out in Article\u00a04(2), establish, maintain and review a sound and comprehensive digital operational resilience testing programme as an integral part of the ICT risk-management framework referred to in Article\u00a06.2.\u00a0\u00a0\u00a0The digital operational resilience testing programme shall include a range of assessments, tests, methodologies, practices and tools to be applied in accordance with Articles 25 and\u00a026.3.\u00a0\u00a0\u00a0When conducting the digital operational resilience testing programme referred to in paragraph 1 of this Article, financial entities, other than microenterprises, shall follow a risk-based \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_e4DKrT2GmvClerH4Hv4U91jy", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 390, "total_tokens": 396, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-41f8f5fd-d312-4895-8296-b8ee7888f04c-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_e4DKrT2GmvClerH4Hv4U91jy", "type": "tool_call"}], "usage_metadata": {"input_tokens": 390, "output_tokens": 6, "total_tokens": 396}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n (36)Notwithstanding the broad coverage envisaged by this Regulation, the application of the digital operational resilience rules should take into account the significant differences between financial entities in terms of their size and overall risk profile. As a general principle, when distributing resources and capabilities for the implementation of the ICT risk management framework, financial entities should duly balance their ICT-related needs to their size and overall risk profile, and the nature, scale and complexity of their services, activities and operations, while competent authorities should continue to assess and review the approach of such distribution.(36)Notwithstanding the broad coverage envisaged by this Regulation, the application of the digital operational resilience rules should take into account the significant differences between financial entities in terms of their size and overall risk profile. As a general principle, when distributing resources and capabilities \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_tYRzqq36QITNzRCv5QJTNjDi", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 372, "total_tokens": 378, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-ac7beeff-ff7b-40c3-b075-e13a6f72630d-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_tYRzqq36QITNzRCv5QJTNjDi", "type": "tool_call"}], "usage_metadata": {"input_tokens": 372, "output_tokens": 6, "total_tokens": 378}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n put in place to detect ICT-related incidents, prevent their impact and provide protection from it;(f)evidencing the current digital operational resilience situation on the basis of the number of major ICT-related incidents reported and the effectiveness of preventive measures;(g)implementing digital operational resilience testing, in accordance with Chapter IV of this Regulation;(h)outlining a communication strategy in the event of ICT-related incidents the disclosure of which is required in accordance with Article\u00a014.9.\u00a0\u00a0\u00a0Financial entities may, in the context of the digital operational resilience strategy referred to in paragraph 8, define a holistic ICT multi-vendor strategy, at group or entity level, showing key dependencies on ICT third-party service providers and explaining the rationale behind the procurement mix of ICT third-party service providers.10.\u00a0\u00a0\u00a0Financial entities may, in accordance with Union and national sectoral law, outsource the tasks of verifying compliance with \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_Ce25HyDjMMFNgJ4UWxq8w0Sp", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 393, "total_tokens": 399, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-b34e80a1-cbbc-4356-93ad-36e39051c662-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_Ce25HyDjMMFNgJ4UWxq8w0Sp", "type": "tool_call"}], "usage_metadata": {"input_tokens": 393, "output_tokens": 6, "total_tokens": 399}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n included in the digital operational resilience strategy referred to in Article 6(8) of Regulation (EU) 2022/2554;(b)indicate the date of the formal approval of the ICT security policies by the management body;(c)contain indicators and measures to:(i)monitor the implementation of the ICT security policies, procedures, protocols, and tools;(ii)record exceptions from that implementation;(iii)ensure that the digital operational resilience of the financial entity is ensured in case of exceptions as referred to in point (ii);(d)specify the responsibilities of staff at all levels to ensure the financial entity\u2019s ICT security;(e)specify the consequences of non-compliance by staff of the financial entity with the ICT security policies, where provisions to that effect are not laid down in other policies of the financial entity;(f)list the documentation to be maintained;(g)specify the segregation of duties arrangements in the context of the three lines of defence model or other internal risk \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_Nl3B0mzgmv2jQe50WHcODNBR", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 412, "total_tokens": 418, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-c943df98-69dc-447d-93cf-9abfda70d09b-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_Nl3B0mzgmv2jQe50WHcODNBR", "type": "tool_call"}], "usage_metadata": {"input_tokens": 412, "output_tokens": 6, "total_tokens": 418}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n objectives.(23)It is necessary to set out the set of scenarios that financial entities referred to in Title II of this Regulation should take into account both for the implementation of ICT response and recovery plans and for the testing of ICT business continuity plans. Those scenarios should serve as a starting point for financial entities to analyse both the relevance and plausibility of each scenario and the need to develop alternative scenarios. Financial entities should focus on those scenarios in which investment in resilience measures could be more efficient and effective. By testing switchovers between the primary ICT infrastructure and any redundant capacity, backups and redundant facilities, financial institutions should assess whether that capacity, backup, and those facilities operate effectively for a sufficient period of time and ensure that the normal functioning of the primary ICT infrastructure is restored in accordance with the recovery objectives. \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_mBjbkfvopi1yUTod2n1Q7Jdm", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 372, "total_tokens": 378, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-9f93c6e1-7d94-4c36-9885-77a0c752997b-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_mBjbkfvopi1yUTod2n1Q7Jdm", "type": "tool_call"}], "usage_metadata": {"input_tokens": 372, "output_tokens": 6, "total_tokens": 378}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n are directly involved in ICT operations security, including on:(i)the detection and monitoring of cyber threats;(ii)the detection of anomalous activities;(iii)vulnerability management;(i)the detection and monitoring of cyber threats;(ii)the detection of anomalous activities;(iii)vulnerability management;(i)the detection and monitoring of cyber threats;(ii)the detection of anomalous activities;(iii)vulnerability management;(c)establish, implement, and operate technical, organisational, and operational mechanisms to support the ICT-related incident management process, including mechanisms to enable a prompt detection of anomalous activities and behaviours in accordance with Article 23 of this Regulation;(d)retain all evidence relating to ICT-related incidents for a period that shall be no longer than necessary for the purposes for which the data are collected, commensurate with the criticality of the affected business functions, supporting processes, and ICT and information assets, in \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_PZtdPIrNgAn5szMxipJU1pHL", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 399, "total_tokens": 405, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-9e397eae-a311-4252-ae10-78b57f5d2ac9-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_PZtdPIrNgAn5szMxipJU1pHL", "type": "tool_call"}], "usage_metadata": {"input_tokens": 399, "output_tokens": 6, "total_tokens": 405}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n them where appropriate to have an effective and sound digital operational resilience framework;(c)uses or intends to use ICT sub-contractors to perform the ICT services supporting critical or important functions or material parts thereof;(d)is located, or processes or stores the data in a third country and, if this is the case, whether this practice affects the level of operational or reputational risks or the risk of being affected by restrictive measures, including embargos and sanctions, that may impact the ability of the ICT third-party service provider to provide the ICT services or the financial entity to receive those ICT services;(e)consents to contractual arrangements that ensure that it is effectively possible to conduct audits at the ICT third-party service provider, including onsite, by the financial entity itself, appointed third parties, and competent authorities;(f)acts in an ethical and socially responsible manner, respects human rights and children\u2019s rights, including \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_bI38gcH8uFQaNjEO1hEDP4Ad", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 394, "total_tokens": 400, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-ce08457b-2f7a-463b-b65e-d92703fbb29c-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_bI38gcH8uFQaNjEO1hEDP4Ad", "type": "tool_call"}], "usage_metadata": {"input_tokens": 394, "output_tokens": 6, "total_tokens": 400}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n (2)For the same reason, financial entities subject to Regulation (EU) 2022/2554 should have a certain flexibility in the way they comply with any requirements as regards ICT security policies, procedures, protocols and tools, and as regards any simplified ICT risk management framework. For that reason, financial entities should be allowed to use any documentation they have already to comply with any documentation requirements that flow from those requirements. It follows that the development, documentation, and implementation of specific ICT security policies should be required only for certain essential elements, taking into account, inter alia, leading industry practices and standards. Furthermore, to cover specific technical implementation aspects, it is necessary to develop, document and implement ICT security procedures to cover specific technical implementation aspects, including capacity and performance management, vulnerability and patch management, data and system security, \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_ixzwa6o9PT53isU2T3koX6oB", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 379, "total_tokens": 385, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-d3d8cb00-92a3-4494-b22d-e5bef08c13ae-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_ixzwa6o9PT53isU2T3koX6oB", "type": "tool_call"}], "usage_metadata": {"input_tokens": 379, "output_tokens": 6, "total_tokens": 385}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n (1)The framework on digital operational resilience for the financial sector established by Regulation (EU) 2022/2554 requires that financial entities set out certain key principles to manage ICT third-party risk, which are of particular importance when financial entities engage with ICT third-party service providers to support their critical or important functions.(1)The framework on digital operational resilience for the financial sector established by Regulation (EU) 2022/2554 requires that financial entities set out certain key principles to manage ICT third-party risk, which are of particular importance when financial entities engage with ICT third-party service providers to support their critical or important functions. \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_VzFr5aLrM7yOMR4hLALo2XPy", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 339, "total_tokens": 345, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-70278290-436d-461c-9fd7-621902a14453-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_VzFr5aLrM7yOMR4hLALo2XPy", "type": "tool_call"}], "usage_metadata": {"input_tokens": 339, "output_tokens": 6, "total_tokens": 345}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n necessary to protect all information assets and ICT assets;(h)ensures that the staff of the financial entity is kept up to date with sufficient knowledge and skills to understand and assess ICT risk and its impact on the operations of the financial entity, commensurate to the ICT risk being managed;(i)establishes reporting arrangements, including the frequency, form, and content of reporting to the management body on the information security and digital operational resilience. \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_6blqVqoMy4xUaaRk8Ij3ULrp", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 300, "total_tokens": 306, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-f15ba549-177a-4e03-af82-93a5aa5f396d-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_6blqVqoMy4xUaaRk8Ij3ULrp", "type": "tool_call"}], "usage_metadata": {"input_tokens": 300, "output_tokens": 6, "total_tokens": 306}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n time, despite extensive security measures and a functioning ICT risk management system. They are rarely triggered by malicious attacks. The most common causes are internal operational problems that can have considerable consequences for a company\u2019s business operations. The Digital Operational Resilience Act ( DORA ) defines requirements for managing incidents at companies of the financial sector. Moreover, the European regulation is introducing a harmonised reporting system for major ICT incidents and significant cyber threats. Incident reporting: a key feature of DORA The objective of this reporting system is to ensure that relevant information is channelled quickly to the responsible authorities. This is the only possibility these authorities have to be able to assess at short notice the impact of an incident on the financial entity and the financial market and, if necessary, to respond accordingly. In addition to the reporting system, new requirements for incident management are \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_uiOr8sKTBUjY4i1HdNv8iwd0", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 379, "total_tokens": 385, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-e58ee76f-7610-4c98-a7ed-d637810b7b59-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_uiOr8sKTBUjY4i1HdNv8iwd0", "type": "tool_call"}], "usage_metadata": {"input_tokens": 379, "output_tokens": 6, "total_tokens": 385}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n Expertinnen und Experten und dieser Info-Seite. Hier stellt sie die wichtigsten Informationen zu DORA und der Umsetzung des Regelwerks zusammen. Die Website wird laufend aktualisiert und erweitert werden. Veranstaltungshinweis : IT-Aufsicht im Finanzsektor: Was bedeutet DORA in der Praxis? Am 26. September 2024 fand die zehnte BaFin-Veranstaltung \u201eIT-Aufsicht im Finanzsektor\u201c als digitale Konferenz statt. N\u00e4here Informationen und Vortragsunterlagen finden Sie hier . Informationen zu weiteren vergangenen Veranstaltungen finden Sie unter Zusatzinformationen. Regelungsinhalt DORA soll die digitale operationale Resilienz des gesamten europ\u00e4ischen Finanzsektors in diesen sechs wesentlichen Bereichen st\u00e4rken: IKT-Risikomanagement (Kapitel II, Artikel 5 bis 16) Behandlung, Klassifizierung und Berichterstattung IKT-bezogener Vorf\u00e4lle (Kapitel III, Artikel 17 bis 23) Testen der digitalen operationellen Resilienz einschlie\u00dflich Threat-led Penetration Testing (TLPT) (Kapitel IV, Artikel 24 bis \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_nzNbe95R1a7zuLOw6918HniX", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 487, "total_tokens": 493, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-beb891cc-4c68-44e1-a8c5-d7105dbae9c7-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_nzNbe95R1a7zuLOw6918HniX", "type": "tool_call"}], "usage_metadata": {"input_tokens": 487, "output_tokens": 6, "total_tokens": 493}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n Picture credit: Armin H\u00f6hner Erscheinung: 24.06.2024 | Topic Digitalisierung , Risk management \u201dStart getting ready for DORA now\u201d (BaFinJournal) Throughout Europe, companies in the financial sector are being called on to protect themselves more effectively against IT risk. Jan Kiefer from BaFin\u2019s IT Supervision explains what this means for risk management. Mr Kiefer, you participated in the development process for the Regulatory Technical Standard on the ICT risk management framework. The framework is considered the key element of DORA , the Digital Operational Resilience Act. Why? The use of information and communication technology ( ICT ) gives rise to specific risks. The ICT risk management framework will enable financial entities to systematically identify, assess and manage these risks. This is necessary in order to ensure that the protective and preventive measures, once implemented, will align well with each other and be adequate and effective. What exactly will the ICT risk \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_4ksdmGB7EvRqXlw0ckctkfn9", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 407, "total_tokens": 413, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-46b057a1-c5c3-4d19-9769-27135cdf2c79-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_4ksdmGB7EvRqXlw0ckctkfn9", "type": "tool_call"}], "usage_metadata": {"input_tokens": 407, "output_tokens": 6, "total_tokens": 413}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n steigt und Kriminelle haben immer mehr M\u00f6glichkeiten, ihre Angriffstechniken auch durch K\u00fcnstliche Intelligenz zu verbessern. Auch durch geopolitische Konflikte und staatlich organisierte Cyber-Kriminalit\u00e4t w\u00e4chst die Bedrohung. Die Unternehmen m\u00fcssen ihre IT -Sicherheit daher stetig anpassen und weiterentwickeln. Die BaFin erwartet, dass insbesondere die Anwendung des Digital Operational Resilience Acts ( DORA ) ab dem 17. Januar 2025 die operationelle Resilienz des Finanzsektors st\u00e4rken wird. Dann wird auch das PSD2 -Vorfallsmeldewesen durch die Meldepflicht f\u00fcr schwerwiegende IKT-Vorf\u00e4lle im Rahmen von DORA ersetzt. DORA weitet die Meldepflicht f\u00fcr schwerwiegende IKT-Vorf\u00e4lle auf den gesamten Finanzsektor aus und definiert einheitliche Meldeanforderungen f\u00fcr alle Finanzunternehmen. Die Meldeanforderungen zielen k\u00fcnftig also nicht mehr nur auf Vorf\u00e4lle ab, die Zahlungsdienste betreffen. Sondern sie umfassen s\u00e4mtliche Vorf\u00e4lle, die sich auf kritische Dienste und IT -Schutzziele \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_qXITv8IUh9BPGlioa8VlZzJg", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 497, "total_tokens": 503, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-844a8940-c635-4124-a379-358974f31b46-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_qXITv8IUh9BPGlioa8VlZzJg", "type": "tool_call"}], "usage_metadata": {"input_tokens": 497, "output_tokens": 6, "total_tokens": 503}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n ( EBA , ESMA or EIOPA ) and, if applicable, other parties involved, such as the European Central Bank. Besides the reporting system for ICT -related incidents, DORA is also introducing a voluntary system for reporting significant cyber threats. Financial entities must test digital operational resilience Under DORA, all financial entities are obliged to thoroughly review their information and communication technology by establishing a risk-based, proportionate testing programme. Exemptions with regard to the testing programme, but not the testing obligation, are in place for microenterprises and some other financial entities under Article 16 of DORA. This testing programme is supposed, for example, to analyse open source software, assess network security and review physical security at financial entities. Other examples are scenario-based testing, compatibility testing and penetration testing. Selected critical entities of the financial sector are additionally supposed to conduct \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_R829gF2iOEIZpPbs64BvLDL3", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 385, "total_tokens": 391, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-8d88caf7-94d0-4cde-820d-4e765efee996-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_R829gF2iOEIZpPbs64BvLDL3", "type": "tool_call"}], "usage_metadata": {"input_tokens": 385, "output_tokens": 6, "total_tokens": 391}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n that the responsibility for managing a company\u2019s ICT risks lies at management level, i.e. with the managing directors or members of the executive board. And not only that \u2013 the responsibility for defining and approving a strategy for digital operational resilience and appropriately budgeting the costs also lies with them. The necessary expertise must be up-to-date at all times. The companies of the financial sector are additionally obliged to establish an ICT risk control function. This contains elements of the information security officer function already set out in the supervisory requirements for IT , but differs in other respects. To counter ICT risks, it is imperative that the ICT risks are managed thoroughly and comprehensively and that the measures are well-documented. The concrete requirements for this are geared to international, domestic and sector-specific best practices and standards. In terms of standards and technology, DORA is essentially neutral \u2013 it is designed to \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_tCn1jHS63c6j75YwtIDbMntR", "function": {"arguments": "{\"binary_score\":\"no\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 387, "total_tokens": 393, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-cde248aa-eee9-4e8a-ace2-3cc24e770623-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "no"}, "id": "call_tCn1jHS63c6j75YwtIDbMntR", "type": "tool_call"}], "usage_metadata": {"input_tokens": 387, "output_tokens": 6, "total_tokens": 393}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing relevance of a retrieved document to a user question. \n \n    If the document contains keyword(s) or semantic meaning related to the user question, grade it as relevant. \n\n    It does not need to be a stringent test. The goal is to filter out erroneous retrievals. \n\n    Give a binary score 'yes' or 'no' score to indicate whether the document is relevant to the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Retrieved document: \n\n @AdobeStock_Kittiphat_269686664 Stand: ge\u00e4ndert am 14.10.2024 DORA - Digital Operational Resilience Act Inhalt Eine f\u00fcr alle(s) Regelungsinhalt Zum Hintergrund Umsetzung in Deutschland Delegierte Rechtsakte und Durchf\u00fchrungsstandards zu DORA sowie gemeinsame Leitlinien (Level 2 und 3) DORA: Ver\u00f6ffentlichungen der BaFin DORA: Was m\u00fcssen Sie wissen? Mit DORA, der Verordnung ( EU ) 2022/2554 \u00fcber die digitale operationale Resilienz im Finanzsektor ( Digital Operational Resilience Act ), hat die Europ\u00e4ische Union eine finanzsektorweite Regulierung f\u00fcr die Themen Cybersicherheit, IKT-Risiken und digitale operationale Resilienz geschaffen. Diese Verordnung tr\u00e4gt wesentlich dazu bei, den europ\u00e4ischen Finanzmarkt gegen\u00fcber Cyberrisiken und Vorf\u00e4llen der Informations- und Kommunikationstechnologie (IKT) zu st\u00e4rken. Aktualisierungs\u00fcbersicht Datum Aktualisierung 07.10.2024 Aktualisierung der FAQ zu IKT-Risikomanagement 01.10.2024 Aktualisierung der FAQ zu Vereinbarung \u00fcber den Austausch von \n\n User question: How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_2GVCspWe0BWW3wp3Aay6GouE", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeDocuments"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 503, "total_tokens": 509, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-aca111be-6639-4166-9458-391052b2024e-0", "tool_calls": [{"name": "GradeDocuments", "args": {"binary_score": "yes"}, "id": "call_2GVCspWe0BWW3wp3Aay6GouE", "type": "tool_call"}], "usage_metadata": {"input_tokens": 503, "output_tokens": 6, "total_tokens": 509}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a highly experienced IT auditor, specializing in information security and regulatory compliance. Your task is to assist a colleague who has approached you with a question. You have access to relevant context, provided here: [Document(metadata={'source': 'Dora,', 'section': 'rct_8'}, page_content='Nonetheless, provisions tackling digital operational resilience and ICT security are not yet fully or consistently harmonised, despite digital operational resilience being vital for ensuring financial stability and market integrity in the digital age, and no less important than, for example, common prudential or market conduct standards. The Single Rulebook and system of supervision should therefore be developed to also cover digital operational resilience, by strengthening the mandates of competent authorities to enable them to supervise the management of ICT risk in the financial sector in order to protect the integrity and efficiency of the internal market, and to facilitate its orderly functioning.'), Document(metadata={'source': 'Dora,', 'section': 'art_6'}, page_content='put in place to detect ICT-related incidents, prevent their impact and provide protection from it;(f)evidencing the current digital operational resilience situation on the basis of the number of major ICT-related incidents reported and the effectiveness of preventive measures;(g)implementing digital operational resilience testing, in accordance with Chapter IV of this Regulation;(h)outlining a communication strategy in the event of ICT-related incidents the disclosure of which is required in accordance with Article\\xa014.9.\\xa0\\xa0\\xa0Financial entities may, in the context of the digital operational resilience strategy referred to in paragraph 8, define a holistic ICT multi-vendor strategy, at group or entity level, showing key dependencies on ICT third-party service providers and explaining the rationale behind the procurement mix of ICT third-party service providers.10.\\xa0\\xa0\\xa0Financial entities may, in accordance with Union and national sectoral law, outsource the tasks of verifying compliance with'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1774: RTS specifying ICT risk management tools, methods, processes, and policies and the simplified ICT risk management framework', 'section': 'art_22'}, page_content='are directly involved in ICT operations security, including on:(i)the detection and monitoring of cyber threats;(ii)the detection of anomalous activities;(iii)vulnerability management;(i)the detection and monitoring of cyber threats;(ii)the detection of anomalous activities;(iii)vulnerability management;(i)the detection and monitoring of cyber threats;(ii)the detection of anomalous activities;(iii)vulnerability management;(c)establish, implement, and operate technical, organisational, and operational mechanisms to support the ICT-related incident management process, including mechanisms to enable a prompt detection of anomalous activities and behaviours in accordance with Article 23 of this Regulation;(d)retain all evidence relating to ICT-related incidents for a period that shall be no longer than necessary for the purposes for which the data are collected, commensurate with the criticality of the affected business functions, supporting processes, and ICT and information assets, in'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1773: RTS specifying the detailed content of the policy regarding contractual arrangements on the use of ICT services supporting critical or important functions provided by ICT third-party service providers', 'section': 'rct_1'}, page_content='(1)The framework on digital operational resilience for the financial sector established by Regulation (EU) 2022/2554 requires that financial entities set out certain key principles to manage ICT third-party risk, which are of particular importance when financial entities engage with ICT third-party service providers to support their critical or important functions.(1)The framework on digital operational resilience for the financial sector established by Regulation (EU) 2022/2554 requires that financial entities set out certain key principles to manage ICT third-party risk, which are of particular importance when financial entities engage with ICT third-party service providers to support their critical or important functions.'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_0618_DORA_en.html'}, page_content='time, despite extensive security measures and a functioning ICT risk management system. They are rarely triggered by malicious attacks. The most common causes are internal operational problems that can have considerable consequences for a company\u2019s business operations. The Digital Operational Resilience Act ( DORA ) defines requirements for managing incidents at companies of the financial sector. Moreover, the European regulation is introducing a harmonised reporting system for major ICT incidents and significant cyber threats. Incident reporting: a key feature of DORA The objective of this reporting system is to ensure that relevant information is channelled quickly to the responsible authorities. This is the only possibility these authorities have to be able to assess at short notice the impact of an incident on the financial entity and the financial market and, if necessary, to respond accordingly. In addition to the reporting system, new requirements for incident management are'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_0805_Interview_DORA_en.html'}, page_content='Picture credit: Armin H\u00f6hner Erscheinung: 24.06.2024 | Topic Digitalisierung , Risk management \u201dStart getting ready for DORA now\u201d (BaFinJournal) Throughout Europe, companies in the financial sector are being called on to protect themselves more effectively against IT risk. Jan Kiefer from BaFin\u2019s IT Supervision explains what this means for risk management. Mr Kiefer, you participated in the development process for the Regulatory Technical Standard on the ICT risk management framework. The framework is considered the key element of DORA , the Digital Operational Resilience Act. Why? The use of information and communication technology ( ICT ) gives rise to specific risks. The ICT risk management framework will enable financial entities to systematically identify, assess and manage these risks. This is necessary in order to ensure that the protective and preventive measures, once implemented, will align well with each other and be adequate and effective. What exactly will the ICT risk'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/DE/Fachartikel/2024/fa_bj_0710_PSD2.html'}, page_content='steigt und Kriminelle haben immer mehr M\u00f6glichkeiten, ihre Angriffstechniken auch durch K\u00fcnstliche Intelligenz zu verbessern. Auch durch geopolitische Konflikte und staatlich organisierte Cyber-Kriminalit\u00e4t w\u00e4chst die Bedrohung. Die Unternehmen m\u00fcssen ihre IT -Sicherheit daher stetig anpassen und weiterentwickeln. Die BaFin erwartet, dass insbesondere die Anwendung des Digital Operational Resilience Acts ( DORA ) ab dem 17. Januar 2025 die operationelle Resilienz des Finanzsektors st\u00e4rken wird. Dann wird auch das PSD2 -Vorfallsmeldewesen durch die Meldepflicht f\u00fcr schwerwiegende IKT-Vorf\u00e4lle im Rahmen von DORA ersetzt. DORA weitet die Meldepflicht f\u00fcr schwerwiegende IKT-Vorf\u00e4lle auf den gesamten Finanzsektor aus und definiert einheitliche Meldeanforderungen f\u00fcr alle Finanzunternehmen. Die Meldeanforderungen zielen k\u00fcnftig also nicht mehr nur auf Vorf\u00e4lle ab, die Zahlungsdienste betreffen. Sondern sie umfassen s\u00e4mtliche Vorf\u00e4lle, die sich auf kritische Dienste und IT -Schutzziele'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html'}, page_content='( EBA , ESMA or EIOPA ) and, if applicable, other parties involved, such as the European Central Bank. Besides the reporting system for ICT -related incidents, DORA is also introducing a voluntary system for reporting significant cyber threats. Financial entities must test digital operational resilience Under DORA, all financial entities are obliged to thoroughly review their information and communication technology by establishing a risk-based, proportionate testing programme. Exemptions with regard to the testing programme, but not the testing obligation, are in place for microenterprises and some other financial entities under Article 16 of DORA. This testing programme is supposed, for example, to analyse open source software, assess network security and review physical security at financial entities. Other examples are scenario-based testing, compatibility testing and penetration testing. Selected critical entities of the financial sector are additionally supposed to conduct'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/DORA_artikel.html'}, page_content='@AdobeStock_Kittiphat_269686664 Stand: ge\u00e4ndert am 14.10.2024 DORA - Digital Operational Resilience Act Inhalt Eine f\u00fcr alle(s) Regelungsinhalt Zum Hintergrund Umsetzung in Deutschland Delegierte Rechtsakte und Durchf\u00fchrungsstandards zu DORA sowie gemeinsame Leitlinien (Level 2 und 3) DORA: Ver\u00f6ffentlichungen der BaFin DORA: Was m\u00fcssen Sie wissen? Mit DORA, der Verordnung ( EU ) 2022/2554 \u00fcber die digitale operationale Resilienz im Finanzsektor ( Digital Operational Resilience Act ), hat die Europ\u00e4ische Union eine finanzsektorweite Regulierung f\u00fcr die Themen Cybersicherheit, IKT-Risiken und digitale operationale Resilienz geschaffen. Diese Verordnung tr\u00e4gt wesentlich dazu bei, den europ\u00e4ischen Finanzmarkt gegen\u00fcber Cyberrisiken und Vorf\u00e4llen der Informations- und Kommunikationstechnologie (IKT) zu st\u00e4rken. Aktualisierungs\u00fcbersicht Datum Aktualisierung 07.10.2024 Aktualisierung der FAQ zu IKT-Risikomanagement 01.10.2024 Aktualisierung der FAQ zu Vereinbarung \u00fcber den Austausch von')]. Please respond with a clear, concise, and precise answer, strictly based on the provided context. Ensure your response is accurate and always cite sources from the context. Do not introduce any new information or alter the context in any way.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"text": "The Digital Operational Resilience Act (DORA) provides guidance on various aspects of ICT risk management, which would encompass the implementation of a Security Information and Event Management (SIEM) system. Although DORA does not explicitly mention SIEM systems, it outlines requirements that align with the functionalities of such systems:\n\n1. **Detection and Monitoring of Cyber Threats:** DORA emphasizes the importance of detecting and monitoring cyber threats as part of ICT operations security (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). A SIEM system is crucial for this purpose, as it aggregates and analyzes data from across the IT infrastructure to identify potential security threats.\n\n2. **Incident Management Process:** DORA requires the establishment, implementation, and operation of mechanisms that support the ICT-related incident management process. This includes enabling prompt detection of anomalous activities and behaviors (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). A SIEM system plays a key role in managing security incidents by providing real-time analysis and response capabilities.\n\n3. **Evidence Retention:** DORA mandates that all evidence related to ICT-related incidents should be retained for a period commensurate with the criticality of the affected business functions and ICT assets (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). SIEM systems can assist in logging and storing this evidence securely.\n\nFor a checklist in implementing a SIEM system under DORA guidelines, consider the following key points:\n\n- **Integration:** Ensure the SIEM system is integrated with all relevant data sources across the organization to provide comprehensive monitoring.\n  \n- **Real-time Monitoring and Alerts:** Configure the SIEM system to provide real-time monitoring and alerts for potential threats and anomalies.\n\n- **Incident Response:** Develop and implement procedures for responding to incidents detected by the SIEM system.\n\n- **Data Retention Policy:** Establish a data retention policy in line with DORA's requirements for evidence retention, ensuring logs and records are stored securely for the necessary duration.\n\n- **Compliance and Reporting:** Ensure the SIEM system supports compliance reporting requirements as outlined by DORA, including the harmonized reporting system for major ICT incidents (BaFin article on DORA).\n\n- **Testing and Evaluation:** Regularly test and evaluate the SIEM system to ensure it remains effective and aligned with organizational and regulatory requirements (BaFin article on testing under DORA).\n\nThese considerations will help ensure that a SIEM system not only supports compliance with DORA but also enhances the organization's overall ICT security posture.", "generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "The Digital Operational Resilience Act (DORA) provides guidance on various aspects of ICT risk management, which would encompass the implementation of a Security Information and Event Management (SIEM) system. Although DORA does not explicitly mention SIEM systems, it outlines requirements that align with the functionalities of such systems:\n\n1. **Detection and Monitoring of Cyber Threats:** DORA emphasizes the importance of detecting and monitoring cyber threats as part of ICT operations security (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). A SIEM system is crucial for this purpose, as it aggregates and analyzes data from across the IT infrastructure to identify potential security threats.\n\n2. **Incident Management Process:** DORA requires the establishment, implementation, and operation of mechanisms that support the ICT-related incident management process. This includes enabling prompt detection of anomalous activities and behaviors (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). A SIEM system plays a key role in managing security incidents by providing real-time analysis and response capabilities.\n\n3. **Evidence Retention:** DORA mandates that all evidence related to ICT-related incidents should be retained for a period commensurate with the criticality of the affected business functions and ICT assets (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). SIEM systems can assist in logging and storing this evidence securely.\n\nFor a checklist in implementing a SIEM system under DORA guidelines, consider the following key points:\n\n- **Integration:** Ensure the SIEM system is integrated with all relevant data sources across the organization to provide comprehensive monitoring.\n  \n- **Real-time Monitoring and Alerts:** Configure the SIEM system to provide real-time monitoring and alerts for potential threats and anomalies.\n\n- **Incident Response:** Develop and implement procedures for responding to incidents detected by the SIEM system.\n\n- **Data Retention Policy:** Establish a data retention policy in line with DORA's requirements for evidence retention, ensuring logs and records are stored securely for the necessary duration.\n\n- **Compliance and Reporting:** Ensure the SIEM system supports compliance reporting requirements as outlined by DORA, including the harmonized reporting system for major ICT incidents (BaFin article on DORA).\n\n- **Testing and Evaluation:** Regularly test and evaluate the SIEM system to ensure it remains effective and aligned with organizational and regulatory requirements (BaFin article on testing under DORA).\n\nThese considerations will help ensure that a SIEM system not only supports compliance with DORA but also enhances the organization's overall ICT security posture.", "additional_kwargs": {"refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 520, "prompt_tokens": 2109, "total_tokens": 2629, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-4o-2024-08-06", "system_fingerprint": "fp_159d8341cc", "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-46b8eb51-3d10-4a83-a873-452a50c96e50-0", "usage_metadata": {"input_tokens": 2109, "output_tokens": 520, "total_tokens": 2629}, "tool_calls": [], "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing whether an LLM generation is grounded in / supported by a set of retrieved facts. \n \n     Give a binary score 'yes' or 'no'. 'Yes' means that the answer is grounded in / supported by the set of facts.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Set of facts: \n\n [Document(metadata={'source': 'Dora,', 'section': 'rct_8'}, page_content='Nonetheless, provisions tackling digital operational resilience and ICT security are not yet fully or consistently harmonised, despite digital operational resilience being vital for ensuring financial stability and market integrity in the digital age, and no less important than, for example, common prudential or market conduct standards. The Single Rulebook and system of supervision should therefore be developed to also cover digital operational resilience, by strengthening the mandates of competent authorities to enable them to supervise the management of ICT risk in the financial sector in order to protect the integrity and efficiency of the internal market, and to facilitate its orderly functioning.'), Document(metadata={'source': 'Dora,', 'section': 'art_6'}, page_content='put in place to detect ICT-related incidents, prevent their impact and provide protection from it;(f)evidencing the current digital operational resilience situation on the basis of the number of major ICT-related incidents reported and the effectiveness of preventive measures;(g)implementing digital operational resilience testing, in accordance with Chapter IV of this Regulation;(h)outlining a communication strategy in the event of ICT-related incidents the disclosure of which is required in accordance with Article\\xa014.9.\\xa0\\xa0\\xa0Financial entities may, in the context of the digital operational resilience strategy referred to in paragraph 8, define a holistic ICT multi-vendor strategy, at group or entity level, showing key dependencies on ICT third-party service providers and explaining the rationale behind the procurement mix of ICT third-party service providers.10.\\xa0\\xa0\\xa0Financial entities may, in accordance with Union and national sectoral law, outsource the tasks of verifying compliance with'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1774: RTS specifying ICT risk management tools, methods, processes, and policies and the simplified ICT risk management framework', 'section': 'art_22'}, page_content='are directly involved in ICT operations security, including on:(i)the detection and monitoring of cyber threats;(ii)the detection of anomalous activities;(iii)vulnerability management;(i)the detection and monitoring of cyber threats;(ii)the detection of anomalous activities;(iii)vulnerability management;(i)the detection and monitoring of cyber threats;(ii)the detection of anomalous activities;(iii)vulnerability management;(c)establish, implement, and operate technical, organisational, and operational mechanisms to support the ICT-related incident management process, including mechanisms to enable a prompt detection of anomalous activities and behaviours in accordance with Article 23 of this Regulation;(d)retain all evidence relating to ICT-related incidents for a period that shall be no longer than necessary for the purposes for which the data are collected, commensurate with the criticality of the affected business functions, supporting processes, and ICT and information assets, in'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1773: RTS specifying the detailed content of the policy regarding contractual arrangements on the use of ICT services supporting critical or important functions provided by ICT third-party service providers', 'section': 'rct_1'}, page_content='(1)The framework on digital operational resilience for the financial sector established by Regulation (EU) 2022/2554 requires that financial entities set out certain key principles to manage ICT third-party risk, which are of particular importance when financial entities engage with ICT third-party service providers to support their critical or important functions.(1)The framework on digital operational resilience for the financial sector established by Regulation (EU) 2022/2554 requires that financial entities set out certain key principles to manage ICT third-party risk, which are of particular importance when financial entities engage with ICT third-party service providers to support their critical or important functions.'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_0618_DORA_en.html'}, page_content='time, despite extensive security measures and a functioning ICT risk management system. They are rarely triggered by malicious attacks. The most common causes are internal operational problems that can have considerable consequences for a company\u2019s business operations. The Digital Operational Resilience Act ( DORA ) defines requirements for managing incidents at companies of the financial sector. Moreover, the European regulation is introducing a harmonised reporting system for major ICT incidents and significant cyber threats. Incident reporting: a key feature of DORA The objective of this reporting system is to ensure that relevant information is channelled quickly to the responsible authorities. This is the only possibility these authorities have to be able to assess at short notice the impact of an incident on the financial entity and the financial market and, if necessary, to respond accordingly. In addition to the reporting system, new requirements for incident management are'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_0805_Interview_DORA_en.html'}, page_content='Picture credit: Armin H\u00f6hner Erscheinung: 24.06.2024 | Topic Digitalisierung , Risk management \u201dStart getting ready for DORA now\u201d (BaFinJournal) Throughout Europe, companies in the financial sector are being called on to protect themselves more effectively against IT risk. Jan Kiefer from BaFin\u2019s IT Supervision explains what this means for risk management. Mr Kiefer, you participated in the development process for the Regulatory Technical Standard on the ICT risk management framework. The framework is considered the key element of DORA , the Digital Operational Resilience Act. Why? The use of information and communication technology ( ICT ) gives rise to specific risks. The ICT risk management framework will enable financial entities to systematically identify, assess and manage these risks. This is necessary in order to ensure that the protective and preventive measures, once implemented, will align well with each other and be adequate and effective. What exactly will the ICT risk'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/DE/Fachartikel/2024/fa_bj_0710_PSD2.html'}, page_content='steigt und Kriminelle haben immer mehr M\u00f6glichkeiten, ihre Angriffstechniken auch durch K\u00fcnstliche Intelligenz zu verbessern. Auch durch geopolitische Konflikte und staatlich organisierte Cyber-Kriminalit\u00e4t w\u00e4chst die Bedrohung. Die Unternehmen m\u00fcssen ihre IT -Sicherheit daher stetig anpassen und weiterentwickeln. Die BaFin erwartet, dass insbesondere die Anwendung des Digital Operational Resilience Acts ( DORA ) ab dem 17. Januar 2025 die operationelle Resilienz des Finanzsektors st\u00e4rken wird. Dann wird auch das PSD2 -Vorfallsmeldewesen durch die Meldepflicht f\u00fcr schwerwiegende IKT-Vorf\u00e4lle im Rahmen von DORA ersetzt. DORA weitet die Meldepflicht f\u00fcr schwerwiegende IKT-Vorf\u00e4lle auf den gesamten Finanzsektor aus und definiert einheitliche Meldeanforderungen f\u00fcr alle Finanzunternehmen. Die Meldeanforderungen zielen k\u00fcnftig also nicht mehr nur auf Vorf\u00e4lle ab, die Zahlungsdienste betreffen. Sondern sie umfassen s\u00e4mtliche Vorf\u00e4lle, die sich auf kritische Dienste und IT -Schutzziele'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html'}, page_content='( EBA , ESMA or EIOPA ) and, if applicable, other parties involved, such as the European Central Bank. Besides the reporting system for ICT -related incidents, DORA is also introducing a voluntary system for reporting significant cyber threats. Financial entities must test digital operational resilience Under DORA, all financial entities are obliged to thoroughly review their information and communication technology by establishing a risk-based, proportionate testing programme. Exemptions with regard to the testing programme, but not the testing obligation, are in place for microenterprises and some other financial entities under Article 16 of DORA. This testing programme is supposed, for example, to analyse open source software, assess network security and review physical security at financial entities. Other examples are scenario-based testing, compatibility testing and penetration testing. Selected critical entities of the financial sector are additionally supposed to conduct'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/DORA_artikel.html'}, page_content='@AdobeStock_Kittiphat_269686664 Stand: ge\u00e4ndert am 14.10.2024 DORA - Digital Operational Resilience Act Inhalt Eine f\u00fcr alle(s) Regelungsinhalt Zum Hintergrund Umsetzung in Deutschland Delegierte Rechtsakte und Durchf\u00fchrungsstandards zu DORA sowie gemeinsame Leitlinien (Level 2 und 3) DORA: Ver\u00f6ffentlichungen der BaFin DORA: Was m\u00fcssen Sie wissen? Mit DORA, der Verordnung ( EU ) 2022/2554 \u00fcber die digitale operationale Resilienz im Finanzsektor ( Digital Operational Resilience Act ), hat die Europ\u00e4ische Union eine finanzsektorweite Regulierung f\u00fcr die Themen Cybersicherheit, IKT-Risiken und digitale operationale Resilienz geschaffen. Diese Verordnung tr\u00e4gt wesentlich dazu bei, den europ\u00e4ischen Finanzmarkt gegen\u00fcber Cyberrisiken und Vorf\u00e4llen der Informations- und Kommunikationstechnologie (IKT) zu st\u00e4rken. Aktualisierungs\u00fcbersicht Datum Aktualisierung 07.10.2024 Aktualisierung der FAQ zu IKT-Risikomanagement 01.10.2024 Aktualisierung der FAQ zu Vereinbarung \u00fcber den Austausch von')] \n\n LLM generation: The Digital Operational Resilience Act (DORA) provides guidance on various aspects of ICT risk management, which would encompass the implementation of a Security Information and Event Management (SIEM) system. Although DORA does not explicitly mention SIEM systems, it outlines requirements that align with the functionalities of such systems:\n\n1. **Detection and Monitoring of Cyber Threats:** DORA emphasizes the importance of detecting and monitoring cyber threats as part of ICT operations security (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). A SIEM system is crucial for this purpose, as it aggregates and analyzes data from across the IT infrastructure to identify potential security threats.\n\n2. **Incident Management Process:** DORA requires the establishment, implementation, and operation of mechanisms that support the ICT-related incident management process. This includes enabling prompt detection of anomalous activities and behaviors (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). A SIEM system plays a key role in managing security incidents by providing real-time analysis and response capabilities.\n\n3. **Evidence Retention:** DORA mandates that all evidence related to ICT-related incidents should be retained for a period commensurate with the criticality of the affected business functions and ICT assets (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). SIEM systems can assist in logging and storing this evidence securely.\n\nFor a checklist in implementing a SIEM system under DORA guidelines, consider the following key points:\n\n- **Integration:** Ensure the SIEM system is integrated with all relevant data sources across the organization to provide comprehensive monitoring.\n  \n- **Real-time Monitoring and Alerts:** Configure the SIEM system to provide real-time monitoring and alerts for potential threats and anomalies.\n\n- **Incident Response:** Develop and implement procedures for responding to incidents detected by the SIEM system.\n\n- **Data Retention Policy:** Establish a data retention policy in line with DORA's requirements for evidence retention, ensuring logs and records are stored securely for the necessary duration.\n\n- **Compliance and Reporting:** Ensure the SIEM system supports compliance reporting requirements as outlined by DORA, including the harmonized reporting system for major ICT incidents (BaFin article on DORA).\n\n- **Testing and Evaluation:** Regularly test and evaluate the SIEM system to ensure it remains effective and aligned with organizational and regulatory requirements (BaFin article on testing under DORA).\n\nThese considerations will help ensure that a SIEM system not only supports compliance with DORA but also enhances the organization's overall ICT security posture.", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-3.5-turbo", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('parallel_tool_calls', False), ('stop', None), ('tool_choice', {'type': 'function', 'function': {'name': 'GradeHallucinations'}}), ('tools', [{'type': 'function', 'function': {'name': 'GradeHallucinations', 'description': 'Binary score for hallucination present in generation answer.', 'parameters': {'properties': {'binary_score': {'description': "Answer is grounded in the facts, 'yes' or 'no'", 'type': 'string'}}, 'required': ['binary_score'], 'type': 'object'}}}])]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_PKpPLiJvSrKQuVg3z5RyA7Xp", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeHallucinations"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 2775, "total_tokens": 2781, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-3757a2bc-2bf5-46de-8470-fe5cfb5aad78-0", "tool_calls": [{"name": "GradeHallucinations", "args": {"binary_score": "yes"}, "id": "call_PKpPLiJvSrKQuVg3z5RyA7Xp", "type": "tool_call"}], "usage_metadata": {"input_tokens": 2775, "output_tokens": 6, "total_tokens": 2781}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing whether an answer addresses / resolves a question \n \n     Give a binary score 'yes' or 'no'. Yes' means that the answer resolves the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "User question: \n\n How does the Digital Operational Resilience Act (DORA) guide the implementation of a Security Information and Event Management (SIEM) system, and what key considerations should be included in a checklist for this process? \n\n LLM generation: The Digital Operational Resilience Act (DORA) provides guidance on various aspects of ICT risk management, which would encompass the implementation of a Security Information and Event Management (SIEM) system. Although DORA does not explicitly mention SIEM systems, it outlines requirements that align with the functionalities of such systems:\n\n1. **Detection and Monitoring of Cyber Threats:** DORA emphasizes the importance of detecting and monitoring cyber threats as part of ICT operations security (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). A SIEM system is crucial for this purpose, as it aggregates and analyzes data from across the IT infrastructure to identify potential security threats.\n\n2. **Incident Management Process:** DORA requires the establishment, implementation, and operation of mechanisms that support the ICT-related incident management process. This includes enabling prompt detection of anomalous activities and behaviors (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). A SIEM system plays a key role in managing security incidents by providing real-time analysis and response capabilities.\n\n3. **Evidence Retention:** DORA mandates that all evidence related to ICT-related incidents should be retained for a period commensurate with the criticality of the affected business functions and ICT assets (Commission Delegated Regulation (EU) 2024/1774: RTS, art_22). SIEM systems can assist in logging and storing this evidence securely.\n\nFor a checklist in implementing a SIEM system under DORA guidelines, consider the following key points:\n\n- **Integration:** Ensure the SIEM system is integrated with all relevant data sources across the organization to provide comprehensive monitoring.\n  \n- **Real-time Monitoring and Alerts:** Configure the SIEM system to provide real-time monitoring and alerts for potential threats and anomalies.\n\n- **Incident Response:** Develop and implement procedures for responding to incidents detected by the SIEM system.\n\n- **Data Retention Policy:** Establish a data retention policy in line with DORA's requirements for evidence retention, ensuring logs and records are stored securely for the necessary duration.\n\n- **Compliance and Reporting:** Ensure the SIEM system supports compliance reporting requirements as outlined by DORA, including the harmonized reporting system for major ICT incidents (BaFin article on DORA).\n\n- **Testing and Evaluation:** Regularly test and evaluate the SIEM system to ensure it remains effective and aligned with organizational and regulatory requirements (BaFin article on testing under DORA).\n\nThese considerations will help ensure that a SIEM system not only supports compliance with DORA but also enhances the organization's overall ICT security posture.", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-3.5-turbo", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('parallel_tool_calls', False), ('stop', None), ('tool_choice', {'type': 'function', 'function': {'name': 'GradeAnswer'}}), ('tools', [{'type': 'function', 'function': {'name': 'GradeAnswer', 'description': 'Binary score to assess answer addresses question.', 'parameters': {'properties': {'binary_score': {'description': "Answer addresses the question, 'yes' or 'no'", 'type': 'string'}}, 'required': ['binary_score'], 'type': 'object'}}}])]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_vzrb1lE4wDY1rUFXx0KbG46c", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeAnswer"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 688, "total_tokens": 694, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-40c5edfb-33a7-4a4d-a3e9-124213168533-0", "tool_calls": [{"name": "GradeAnswer", "args": {"binary_score": "yes"}, "id": "call_vzrb1lE4wDY1rUFXx0KbG46c", "type": "tool_call"}], "usage_metadata": {"input_tokens": 688, "output_tokens": 6, "total_tokens": 694}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a highly experienced IT auditor, specializing in information security and regulatory compliance. Your task is to assist a colleague who has approached you with a question. You have access to relevant context, provided here: [Document(metadata={'source': 'Dora,', 'section': 'art_27'}, page_content='specific expertise in threat intelligence, penetration testing and red team testing;(c)are certified by an accreditation body in a Member State or adhere to formal codes of conduct or ethical frameworks;(d)provide an independent assurance, or an audit report, in relation to the sound management of risks associated with the carrying out of TLPT, including the due protection of the financial entity\u2019s confidential information and redress for the business risks of the financial entity;(e)are duly and fully covered by relevant professional indemnity insurances, including against risks of misconduct and negligence.(a)such use has been approved by the relevant competent authority or by the single public authority designated in accordance with Article\\xa026(9) and\\xa0(10);(b)the relevant competent authority has verified that the financial entity has sufficient dedicated resources and ensured that conflicts of interest are avoided throughout the design and execution phases of the test; and(c)the'), Document(metadata={'source': 'Dora,', 'section': 'rct_56'}, page_content='(56)In order to achieve a high level of digital operational resilience, and in line with both the relevant international standards (e.g. the G7 Fundamental Elements for Threat-Led Penetration Testing) and with the frameworks applied in the Union, such as the TIBER-EU, financial entities should regularly test their ICT systems and staff having ICT-related responsibilities with regard to the effectiveness of their preventive, detection, response and recovery capabilities, to uncover and address potential ICT vulnerabilities. To reflect differences that exist across, and within, the various financial subsectors as regards financial entities\u2019 level of cybersecurity preparedness, testing should include a wide variety of tools and actions, ranging from the assessment of basic requirements (e.g. vulnerability assessments and scans, open source analyses, network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews'), Document(metadata={'source': 'Dora,', 'section': 'rct_43'}, page_content='entities subject to the simplified ICT risk management framework under this Regulation should be exempted from the requirement to perform advanced testing of ICT tools, systems and processes based on threat-led penetration testing (TLPT), as only financial entities meeting the criteria set out in this Regulation should be required to carry out such testing. In light of their limited capabilities, microenterprises should be able to agree with the ICT third-party service provider to delegate the financial entity\u2019s rights of access, inspection and audit to an independent third-party, to be appointed by the ICT third-party service provider, provided that the financial entity is able to request, at any time, all relevant information and assurance on the ICT third-party service provider\u2019s performance from the respective independent third-party.'), Document(metadata={'source': 'Dora,', 'section': 'rct_56'}, page_content='network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews where feasible, scenario-based tests, compatibility testing, performance testing or end-to-end testing) to more advanced testing by means of TLPT. Such advanced testing should be required only of financial entities that are mature enough from an ICT perspective to reasonably carry it out. The digital operational resilience testing required by this Regulation should thus be more demanding for those financial entities meeting the criteria set out in this Regulation (for example, large, systemic and ICT-mature credit institutions, stock exchanges, central securities depositories and central counterparties) than for other financial entities. At the same time, the digital operational resilience testing by means of TLPT should be more relevant for financial entities operating in core financial services subsectors and playing a systemic role (for example,'), Document(metadata={'source': 'Dora,', 'section': 'rct_61'}, page_content='level, this Regulation should allow the use of internal testers for the purposes of carrying out TLPT, provided there is supervisory approval, no conflicts of interest, and periodical alternation of the use of internal and external testers (every three tests), while also requiring the provider of the threat intelligence in the TLPT to always be external to the financial entity. The responsibility for conducting TLPT should remain fully with the financial entity. Attestations provided by authorities should be solely for the purpose of mutual recognition and should not preclude any follow-up action needed to address the ICT risk to which the financial entity is exposed, nor should they be seen as a supervisory endorsement of a financial entity\u2019s ICT risk management and mitigation capabilities.'), Document(metadata={'source': 'Dora,', 'section': 'art_26'}, page_content='Article\\xa026Advanced testing of ICT tools, systems and processes based on TLPT1.\\xa0\\xa0\\xa0Financial entities, other than entities referred to in Article\\xa016(1), first subparagraph, and other than microenterprises, which are identified in accordance with paragraph 8, third subparagraph, of this Article, shall carry out at least every 3 years advanced testing by means of TLPT. Based on the risk profile of the financial entity and taking into account operational circumstances, the competent authority may, where necessary, request the financial entity to reduce or increase this frequency.2.\\xa0\\xa0\\xa0Each threat-led penetration test shall cover several or all critical or important functions of a financial entity, and shall be performed on live production systems supporting such functions.Financial entities shall identify all relevant underlying ICT systems, processes and technologies supporting critical or important functions and ICT services, including those supporting the critical or important functions'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1774: RTS specifying ICT risk management tools, methods, processes, and policies and the simplified ICT risk management framework', 'section': 'art_27'}, page_content='as referred to in Article 6(6) of Regulation (EU) 2022/2554, the results of internal audits;(ii)the results of compliance assessments;(iii)results of digital operational resilience testing, and where applicable the results of advanced testing, based on threat-led penetration testing (TLPT), of ICT tools, systems, and processes;(iv)external sources.(i)for financial entities other than microenterprises as referred to in Article 6(6) of Regulation (EU) 2022/2554, the results of internal audits;(ii)the results of compliance assessments;(iii)results of digital operational resilience testing, and where applicable the results of advanced testing, based on threat-led penetration testing (TLPT), of ICT tools, systems, and processes;(iv)external sources.'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1773: RTS specifying the detailed content of the policy regarding contractual arrangements on the use of ICT services supporting critical or important functions provided by ICT third-party service providers', 'section': 'art_8'}, page_content='penetration testing, that are organised jointly with other contracting financial entities or firms that use ICT services of the same ICT third-party service provider and that are performed by those contracting financial entities or firms or by a third party appointed by them;(c)where appropriate, third-party certifications;(d)where appropriate, internal or third-party audit reports made available by the ICT third-party service provider.3.   The financial entity shall not over time rely solely on certifications referred to in paragraph 2, point (c), or audit reports referred to in point (d) of that paragraph. The policy shall only permit the use of the methods referred to in paragraph 2, points (c) and (d), where the financial entity:(a)is satisfied with the audit plan of the ICT third-party service provider for the relevant contractual arrangements;(b)ensures that the scope of the certifications or audit reports cover the systems and key controls identified by it and ensures'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html'}, page_content='financial entities. Other examples are scenario-based testing, compatibility testing and penetration testing. Selected critical entities of the financial sector are additionally supposed to conduct threat led penetration tests (TLPT), which involve hackers being allocated the task of identifying IT vulnerabilities at companies. The objective is to close any security gaps. The details of these tests will be set out in the regulatory technical standards ( RTS ) that will draw heavily on the European TIBER - EU framework. The previous German equivalent, TIBER -DE, which was voluntary, becomes obligatory through DORA. The supervisors will provide the financial entities with an attestation confirming that a TLPT was successfully performed in line with supervisory requirements. DORA provides for cross-border recognition of these attestations. But from BaFin\u2019s perspective, the TLPTs not only serve supervisory purposes; most importantly, they serve as a source of insight to the financial'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='BaFin ist zust\u00e4ndige Ausichtsbeh\u00f6rde und f\u00fcr die aufsichtlichen Aufgaben zum Thema TLPT verantwortlich, die operative Begleitung der TLPT obliegt der Deutschen Bundesbank. Testmethodik & Kooperation mit der Deutschen Bundesbank Quelle: Bundesbank und BaFin Was m\u00fcssen Sie wissen? Der Fragenkatalog vermittelt, ohne Anspruch auf Vollst\u00e4ndigkeit, einen ersten \u00dcberblick \u00fcber die wichtigsten Fragestellungen und deren Umsetzung. Dieser Fragenkatalog wird fortlaufend aktualisiert. Wie werden die Anforderungen an das Threat-Led Penetration Testing (TLPT) aus Artikel 26 und 27 DORA ab 2025 in Deutschland umgesetzt? Die wesentliche Testmethodik und die Testverfahren f\u00fcr TLPT sollen im Einklang mit dem TIBER-EU-Rahmenwerk erfolgen (Artikel 26 Absatz 11 DORA). Deshalb werden die operativen Aufgaben mit Bezug zu TLPT - wie bereits unter TIBER-DE - von der Deutschen Bundesbank wahrgenommen. Durch DORA werden solche Tests zu einem aufsichtlichen Instrument und Teil des IKT-Risikomanagementrahmens'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='solches Testprogramm soll zum Beispiel Open-Source-Software analysieren, die Netzsicherheit und die physische Sicherheit in den Finanzunternehmen pr\u00fcfen sowie Gap-Analysen, szenariobasierte Tests, Kompatibilit\u00e4tstests oder Penetrationstests umfassen. Auf diese Weise sollen die Finanzunternehmen unter anderem erkennen, wie sie auf IKT-Vorf\u00e4lle vorbereitet sind und wo sie m\u00f6glicherweise Schwachstellen in ihrer digitalen operationellen Resilienz haben. Das Testprogramm ist integraler Bestandteil des IKT-Risikomanagementrahmens eines jeden Finanzunternehmens. Threat-led Penetration Testing (TLPT) Neben den allgemeinen Anforderungen f\u00fcr das Testen der digitalen operationalen Resilienz im Rahmen des Testprogramms von Finanzunternehmen, wie es in den Artikel 24 und 25 DORA beschrieben ist, f\u00fchrt DORA ebenfalls erweiterte Tests von IKT-Tools, -Systemen und -Prozessen auf Basis von TLPT ein (Artikel 26 und 27 DORA). Threat-led Penetration Testing (TLPT) Quelle: BaFin Im Gegensatz zu den'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/DE/Fachartikel/2024/fa_bj_2402_DORA.html'}, page_content='Penetrationstests (Threat Led Penetration Tests \u2013 TLPT) durchf\u00fchren. Dabei werden Hacker damit beauftragt, IT -Schwachstellen beim Unternehmen aufzudecken. Ziel ist es, diese Sicherheitsl\u00fccken zu schlie\u00dfen. Wie die Tests konkret ausgestaltet sein sollen, wird durch technische Regulierungsstandards ( RTS ) festgelegt. Diese lehnen sich eng an das europ\u00e4ische Rahmenwerk TIBER - EU an. Das bisher freiwillige deutsche \u00c4quivalent, TIBER -DE , wird durch DORA zur Pflicht. Die Aufsicht bescheinigt den Unternehmen, dass sie einen TLPT erfolgreich und aufsichtskonform durchgef\u00fchrt haben. Diese Bescheinigungen werden grenz\u00fcberschreitend anerkannt. Aus Sicht der BaFin sollten die TLPTs aber nicht nur der Aufsicht, sondern vor allem dem Erkenntnisgewinn der jeweiligen Unternehmen dienen. Drittparteien im Blick DORA nimmt auch die Risiken in den Fokus, die entstehen k\u00f6nnen, wenn Unternehmen des Finanzmarkts IKT-Drittdienstleister nutzen. Die Unternehmen, die diese Dienstleistungen nutzen, m\u00fcssen'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='Kriterien RTS Quelle: BaFin Technischer Regulierungsstandard (RTS) zu TLPT Im Rahmen der europ\u00e4ischen Umsetzungsarbeiten zu DORA wurden die ESAs \u00fcber den Gemeinsamen Ausschuss und im Einvernehmen mit der EZB gem\u00e4\u00df Artikel 26 Absatz 11 DORA erm\u00e4chtigt, einen RTS-Entwurf zu bestimmten Aspekten der fortgeschrittenen Pr\u00fcfung von IKT-Werkzeugen, -Systemen und -Prozessen auf der Grundlage von TLPT in \u00dcbereinstimmung mit dem TIBER-EU-Rahmen vorzulegen. Dieser wurde am 17. Juli 2024 von den ESAs an die europ\u00e4ische Kommission \u00fcbermittelt (LINK) und wird dort nun gepr\u00fcft. Nach Ver\u00f6ffentlichung im Amtsblatt der EU wird er in Kraft treten. Das Mandat dieses RTS umfasst: a) die f\u00fcr die Zwecke der Identifikation von Finanzunternehmen zur Durchf\u00fchrung von TLPT nach Artikel 26 Absatz 8 DORA herangezogenen Kriterien; b) die Anforderungen und Standards f\u00fcr den Einsatz interner Tester; c) die Anforderungen hinsichtlich: i) des Testumfang von TLPT; ii) der Testmethodik und des Testkonzepts f\u00fcr jede'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='f\u00fchrt DORA ebenfalls erweiterte Tests von IKT-Tools, -Systemen und -Prozessen auf Basis von TLPT ein (Artikel 26 und 27 DORA). Threat-led Penetration Testing (TLPT) Quelle: BaFin Im Gegensatz zu den allgemeinen Anforderungen f\u00fcr das Testen gelten die erweiterten Tests auf Basis von TLPT nur f\u00fcr eine kleine Anzahl an Finanzunternehmen, die anhand der Kriterien von Artikel 26 Absatz 8 Unterabsatz 3 DORA identifiziert werden. Diese identifizierten Unternehmen werden von der BaFin als zust\u00e4ndigen Aufsichtsbeh\u00f6rde oder im Falle von signifikanten Kreditinstituten von der EZB durch einen Identifikationsbescheid \u00fcber ihre Verpflichtung zur Durchf\u00fchrung eines TLPT informiert. Die Kriterien sind in Artikel 26 Absatz 8 Unterabsatz 3 DORA beschrieben. Bei der Identifikation von Finanzunternehmen, die TLPT durchzuf\u00fchren haben, sollen sich zust\u00e4ndige Beh\u00f6rden neben dem allgemeinen Proportionalit\u00e4tsgrundsatz im Sinne von Artikel 4 Absatz 2 DORA auf die Bewertung folgender Kriterien st\u00fctzen: a)')]. Please respond with a clear, concise, and precise answer, strictly based on the provided context. Ensure your response is accurate and always cite sources from the context. Do not introduce any new information or alter the context in any way.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements?", "type": "human"}}]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"text": "Based on the provided context, DORA\u2019s threat-led penetration testing (TLPT) requirements are designed to be in alignment with the TIBER-EU framework. DORA mandates that the TLPT tests should be conducted in accordance with the TIBER-EU framework (Document metadata: 'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'). The TIBER-EU framework is a foundation for the TLPT methodology under DORA, as specified in Article 26 and 27. The TLPT requirements under DORA have been formalized to become obligatory, whereas frameworks like TIBER-DE were previously voluntary (Document metadata: 'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/DE/Fachartikel/2024/fa_bj_2402_DORA.html'). The regulatory technical standards (RTS) will further define the specific details of these tests under DORA, drawing heavily on the TIBER-EU framework (Document metadata: 'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html').", "generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "Based on the provided context, DORA\u2019s threat-led penetration testing (TLPT) requirements are designed to be in alignment with the TIBER-EU framework. DORA mandates that the TLPT tests should be conducted in accordance with the TIBER-EU framework (Document metadata: 'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'). The TIBER-EU framework is a foundation for the TLPT methodology under DORA, as specified in Article 26 and 27. The TLPT requirements under DORA have been formalized to become obligatory, whereas frameworks like TIBER-DE were previously voluntary (Document metadata: 'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/DE/Fachartikel/2024/fa_bj_2402_DORA.html'). The regulatory technical standards (RTS) will further define the specific details of these tests under DORA, drawing heavily on the TIBER-EU framework (Document metadata: 'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html').", "additional_kwargs": {"refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 265, "prompt_tokens": 3325, "total_tokens": 3590, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-4o-2024-08-06", "system_fingerprint": "fp_45cf54deae", "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-e35a0d17-23c0-41fc-9d6d-62aadc50703a-0", "usage_metadata": {"input_tokens": 3325, "output_tokens": 265, "total_tokens": 3590, "input_token_details": {"cache_read": 0}, "output_token_details": {"reasoning": 0}}, "tool_calls": [], "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing whether an LLM generation is grounded in / supported by a set of retrieved facts. \n \n     Give a binary score 'yes' or 'no'. 'Yes' means that the answer is grounded in / supported by the set of facts.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "Set of facts: \n\n [Document(metadata={'source': 'Dora,', 'section': 'art_27'}, page_content='specific expertise in threat intelligence, penetration testing and red team testing;(c)are certified by an accreditation body in a Member State or adhere to formal codes of conduct or ethical frameworks;(d)provide an independent assurance, or an audit report, in relation to the sound management of risks associated with the carrying out of TLPT, including the due protection of the financial entity\u2019s confidential information and redress for the business risks of the financial entity;(e)are duly and fully covered by relevant professional indemnity insurances, including against risks of misconduct and negligence.(a)such use has been approved by the relevant competent authority or by the single public authority designated in accordance with Article\\xa026(9) and\\xa0(10);(b)the relevant competent authority has verified that the financial entity has sufficient dedicated resources and ensured that conflicts of interest are avoided throughout the design and execution phases of the test; and(c)the'), Document(metadata={'source': 'Dora,', 'section': 'rct_56'}, page_content='(56)In order to achieve a high level of digital operational resilience, and in line with both the relevant international standards (e.g. the G7 Fundamental Elements for Threat-Led Penetration Testing) and with the frameworks applied in the Union, such as the TIBER-EU, financial entities should regularly test their ICT systems and staff having ICT-related responsibilities with regard to the effectiveness of their preventive, detection, response and recovery capabilities, to uncover and address potential ICT vulnerabilities. To reflect differences that exist across, and within, the various financial subsectors as regards financial entities\u2019 level of cybersecurity preparedness, testing should include a wide variety of tools and actions, ranging from the assessment of basic requirements (e.g. vulnerability assessments and scans, open source analyses, network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews'), Document(metadata={'source': 'Dora,', 'section': 'rct_43'}, page_content='entities subject to the simplified ICT risk management framework under this Regulation should be exempted from the requirement to perform advanced testing of ICT tools, systems and processes based on threat-led penetration testing (TLPT), as only financial entities meeting the criteria set out in this Regulation should be required to carry out such testing. In light of their limited capabilities, microenterprises should be able to agree with the ICT third-party service provider to delegate the financial entity\u2019s rights of access, inspection and audit to an independent third-party, to be appointed by the ICT third-party service provider, provided that the financial entity is able to request, at any time, all relevant information and assurance on the ICT third-party service provider\u2019s performance from the respective independent third-party.'), Document(metadata={'source': 'Dora,', 'section': 'rct_56'}, page_content='network security assessments, gap analyses, physical security reviews, questionnaires and scanning software solutions, source code reviews where feasible, scenario-based tests, compatibility testing, performance testing or end-to-end testing) to more advanced testing by means of TLPT. Such advanced testing should be required only of financial entities that are mature enough from an ICT perspective to reasonably carry it out. The digital operational resilience testing required by this Regulation should thus be more demanding for those financial entities meeting the criteria set out in this Regulation (for example, large, systemic and ICT-mature credit institutions, stock exchanges, central securities depositories and central counterparties) than for other financial entities. At the same time, the digital operational resilience testing by means of TLPT should be more relevant for financial entities operating in core financial services subsectors and playing a systemic role (for example,'), Document(metadata={'source': 'Dora,', 'section': 'rct_61'}, page_content='level, this Regulation should allow the use of internal testers for the purposes of carrying out TLPT, provided there is supervisory approval, no conflicts of interest, and periodical alternation of the use of internal and external testers (every three tests), while also requiring the provider of the threat intelligence in the TLPT to always be external to the financial entity. The responsibility for conducting TLPT should remain fully with the financial entity. Attestations provided by authorities should be solely for the purpose of mutual recognition and should not preclude any follow-up action needed to address the ICT risk to which the financial entity is exposed, nor should they be seen as a supervisory endorsement of a financial entity\u2019s ICT risk management and mitigation capabilities.'), Document(metadata={'source': 'Dora,', 'section': 'art_26'}, page_content='Article\\xa026Advanced testing of ICT tools, systems and processes based on TLPT1.\\xa0\\xa0\\xa0Financial entities, other than entities referred to in Article\\xa016(1), first subparagraph, and other than microenterprises, which are identified in accordance with paragraph 8, third subparagraph, of this Article, shall carry out at least every 3 years advanced testing by means of TLPT. Based on the risk profile of the financial entity and taking into account operational circumstances, the competent authority may, where necessary, request the financial entity to reduce or increase this frequency.2.\\xa0\\xa0\\xa0Each threat-led penetration test shall cover several or all critical or important functions of a financial entity, and shall be performed on live production systems supporting such functions.Financial entities shall identify all relevant underlying ICT systems, processes and technologies supporting critical or important functions and ICT services, including those supporting the critical or important functions'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1774: RTS specifying ICT risk management tools, methods, processes, and policies and the simplified ICT risk management framework', 'section': 'art_27'}, page_content='as referred to in Article 6(6) of Regulation (EU) 2022/2554, the results of internal audits;(ii)the results of compliance assessments;(iii)results of digital operational resilience testing, and where applicable the results of advanced testing, based on threat-led penetration testing (TLPT), of ICT tools, systems, and processes;(iv)external sources.(i)for financial entities other than microenterprises as referred to in Article 6(6) of Regulation (EU) 2022/2554, the results of internal audits;(ii)the results of compliance assessments;(iii)results of digital operational resilience testing, and where applicable the results of advanced testing, based on threat-led penetration testing (TLPT), of ICT tools, systems, and processes;(iv)external sources.'), Document(metadata={'source': 'Commission Delegated Regulation (EU) 2024/1773: RTS specifying the detailed content of the policy regarding contractual arrangements on the use of ICT services supporting critical or important functions provided by ICT third-party service providers', 'section': 'art_8'}, page_content='penetration testing, that are organised jointly with other contracting financial entities or firms that use ICT services of the same ICT third-party service provider and that are performed by those contracting financial entities or firms or by a third party appointed by them;(c)where appropriate, third-party certifications;(d)where appropriate, internal or third-party audit reports made available by the ICT third-party service provider.3.   The financial entity shall not over time rely solely on certifications referred to in paragraph 2, point (c), or audit reports referred to in point (d) of that paragraph. The policy shall only permit the use of the methods referred to in paragraph 2, points (c) and (d), where the financial entity:(a)is satisfied with the audit plan of the ICT third-party service provider for the relevant contractual arrangements;(b)ensures that the scope of the certifications or audit reports cover the systems and key controls identified by it and ensures'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html'}, page_content='financial entities. Other examples are scenario-based testing, compatibility testing and penetration testing. Selected critical entities of the financial sector are additionally supposed to conduct threat led penetration tests (TLPT), which involve hackers being allocated the task of identifying IT vulnerabilities at companies. The objective is to close any security gaps. The details of these tests will be set out in the regulatory technical standards ( RTS ) that will draw heavily on the European TIBER - EU framework. The previous German equivalent, TIBER -DE, which was voluntary, becomes obligatory through DORA. The supervisors will provide the financial entities with an attestation confirming that a TLPT was successfully performed in line with supervisory requirements. DORA provides for cross-border recognition of these attestations. But from BaFin\u2019s perspective, the TLPTs not only serve supervisory purposes; most importantly, they serve as a source of insight to the financial'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='BaFin ist zust\u00e4ndige Ausichtsbeh\u00f6rde und f\u00fcr die aufsichtlichen Aufgaben zum Thema TLPT verantwortlich, die operative Begleitung der TLPT obliegt der Deutschen Bundesbank. Testmethodik & Kooperation mit der Deutschen Bundesbank Quelle: Bundesbank und BaFin Was m\u00fcssen Sie wissen? Der Fragenkatalog vermittelt, ohne Anspruch auf Vollst\u00e4ndigkeit, einen ersten \u00dcberblick \u00fcber die wichtigsten Fragestellungen und deren Umsetzung. Dieser Fragenkatalog wird fortlaufend aktualisiert. Wie werden die Anforderungen an das Threat-Led Penetration Testing (TLPT) aus Artikel 26 und 27 DORA ab 2025 in Deutschland umgesetzt? Die wesentliche Testmethodik und die Testverfahren f\u00fcr TLPT sollen im Einklang mit dem TIBER-EU-Rahmenwerk erfolgen (Artikel 26 Absatz 11 DORA). Deshalb werden die operativen Aufgaben mit Bezug zu TLPT - wie bereits unter TIBER-DE - von der Deutschen Bundesbank wahrgenommen. Durch DORA werden solche Tests zu einem aufsichtlichen Instrument und Teil des IKT-Risikomanagementrahmens'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='solches Testprogramm soll zum Beispiel Open-Source-Software analysieren, die Netzsicherheit und die physische Sicherheit in den Finanzunternehmen pr\u00fcfen sowie Gap-Analysen, szenariobasierte Tests, Kompatibilit\u00e4tstests oder Penetrationstests umfassen. Auf diese Weise sollen die Finanzunternehmen unter anderem erkennen, wie sie auf IKT-Vorf\u00e4lle vorbereitet sind und wo sie m\u00f6glicherweise Schwachstellen in ihrer digitalen operationellen Resilienz haben. Das Testprogramm ist integraler Bestandteil des IKT-Risikomanagementrahmens eines jeden Finanzunternehmens. Threat-led Penetration Testing (TLPT) Neben den allgemeinen Anforderungen f\u00fcr das Testen der digitalen operationalen Resilienz im Rahmen des Testprogramms von Finanzunternehmen, wie es in den Artikel 24 und 25 DORA beschrieben ist, f\u00fchrt DORA ebenfalls erweiterte Tests von IKT-Tools, -Systemen und -Prozessen auf Basis von TLPT ein (Artikel 26 und 27 DORA). Threat-led Penetration Testing (TLPT) Quelle: BaFin Im Gegensatz zu den'), Document(metadata={'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/DE/Fachartikel/2024/fa_bj_2402_DORA.html'}, page_content='Penetrationstests (Threat Led Penetration Tests \u2013 TLPT) durchf\u00fchren. Dabei werden Hacker damit beauftragt, IT -Schwachstellen beim Unternehmen aufzudecken. Ziel ist es, diese Sicherheitsl\u00fccken zu schlie\u00dfen. Wie die Tests konkret ausgestaltet sein sollen, wird durch technische Regulierungsstandards ( RTS ) festgelegt. Diese lehnen sich eng an das europ\u00e4ische Rahmenwerk TIBER - EU an. Das bisher freiwillige deutsche \u00c4quivalent, TIBER -DE , wird durch DORA zur Pflicht. Die Aufsicht bescheinigt den Unternehmen, dass sie einen TLPT erfolgreich und aufsichtskonform durchgef\u00fchrt haben. Diese Bescheinigungen werden grenz\u00fcberschreitend anerkannt. Aus Sicht der BaFin sollten die TLPTs aber nicht nur der Aufsicht, sondern vor allem dem Erkenntnisgewinn der jeweiligen Unternehmen dienen. Drittparteien im Blick DORA nimmt auch die Risiken in den Fokus, die entstehen k\u00f6nnen, wenn Unternehmen des Finanzmarkts IKT-Drittdienstleister nutzen. Die Unternehmen, die diese Dienstleistungen nutzen, m\u00fcssen'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='Kriterien RTS Quelle: BaFin Technischer Regulierungsstandard (RTS) zu TLPT Im Rahmen der europ\u00e4ischen Umsetzungsarbeiten zu DORA wurden die ESAs \u00fcber den Gemeinsamen Ausschuss und im Einvernehmen mit der EZB gem\u00e4\u00df Artikel 26 Absatz 11 DORA erm\u00e4chtigt, einen RTS-Entwurf zu bestimmten Aspekten der fortgeschrittenen Pr\u00fcfung von IKT-Werkzeugen, -Systemen und -Prozessen auf der Grundlage von TLPT in \u00dcbereinstimmung mit dem TIBER-EU-Rahmen vorzulegen. Dieser wurde am 17. Juli 2024 von den ESAs an die europ\u00e4ische Kommission \u00fcbermittelt (LINK) und wird dort nun gepr\u00fcft. Nach Ver\u00f6ffentlichung im Amtsblatt der EU wird er in Kraft treten. Das Mandat dieses RTS umfasst: a) die f\u00fcr die Zwecke der Identifikation von Finanzunternehmen zur Durchf\u00fchrung von TLPT nach Artikel 26 Absatz 8 DORA herangezogenen Kriterien; b) die Anforderungen und Standards f\u00fcr den Einsatz interner Tester; c) die Anforderungen hinsichtlich: i) des Testumfang von TLPT; ii) der Testmethodik und des Testkonzepts f\u00fcr jede'), Document(metadata={'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'}, page_content='f\u00fchrt DORA ebenfalls erweiterte Tests von IKT-Tools, -Systemen und -Prozessen auf Basis von TLPT ein (Artikel 26 und 27 DORA). Threat-led Penetration Testing (TLPT) Quelle: BaFin Im Gegensatz zu den allgemeinen Anforderungen f\u00fcr das Testen gelten die erweiterten Tests auf Basis von TLPT nur f\u00fcr eine kleine Anzahl an Finanzunternehmen, die anhand der Kriterien von Artikel 26 Absatz 8 Unterabsatz 3 DORA identifiziert werden. Diese identifizierten Unternehmen werden von der BaFin als zust\u00e4ndigen Aufsichtsbeh\u00f6rde oder im Falle von signifikanten Kreditinstituten von der EZB durch einen Identifikationsbescheid \u00fcber ihre Verpflichtung zur Durchf\u00fchrung eines TLPT informiert. Die Kriterien sind in Artikel 26 Absatz 8 Unterabsatz 3 DORA beschrieben. Bei der Identifikation von Finanzunternehmen, die TLPT durchzuf\u00fchren haben, sollen sich zust\u00e4ndige Beh\u00f6rden neben dem allgemeinen Proportionalit\u00e4tsgrundsatz im Sinne von Artikel 4 Absatz 2 DORA auf die Bewertung folgender Kriterien st\u00fctzen: a)')] \n\n LLM generation: Based on the provided context, DORA\u2019s threat-led penetration testing (TLPT) requirements are designed to be in alignment with the TIBER-EU framework. DORA mandates that the TLPT tests should be conducted in accordance with the TIBER-EU framework (Document metadata: 'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'). The TIBER-EU framework is a foundation for the TLPT methodology under DORA, as specified in Article 26 and 27. The TLPT requirements under DORA have been formalized to become obligatory, whereas frameworks like TIBER-DE were previously voluntary (Document metadata: 'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/DE/Fachartikel/2024/fa_bj_2402_DORA.html'). The regulatory technical standards (RTS) will further define the specific details of these tests under DORA, drawing heavily on the TIBER-EU framework (Document metadata: 'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html').", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-3.5-turbo", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('parallel_tool_calls', False), ('stop', None), ('tool_choice', {'type': 'function', 'function': {'name': 'GradeHallucinations'}}), ('tools', [{'type': 'function', 'function': {'name': 'GradeHallucinations', 'description': 'Binary score for hallucination present in generation answer.', 'parameters': {'properties': {'binary_score': {'description': "Answer is grounded in the facts, 'yes' or 'no'", 'type': 'string'}}, 'required': ['binary_score'], 'type': 'object'}}}])]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_hNlopAHbCTI9fyyWLFOqd9Fm", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeHallucinations"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 3859, "total_tokens": 3865, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-fd469a38-7f8c-4a91-9dd6-ad196d979134-0", "tool_calls": [{"name": "GradeHallucinations", "args": {"binary_score": "yes"}, "id": "call_hNlopAHbCTI9fyyWLFOqd9Fm", "type": "tool_call"}], "usage_metadata": {"input_tokens": 3859, "output_tokens": 6, "total_tokens": 3865, "input_token_details": {"cache_read": 0}, "output_token_details": {"reasoning": 0}}, "invalid_tool_calls": []}}}}


prompt:
[{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "SystemMessage"], "kwargs": {"content": "You are a grader assessing whether an answer addresses / resolves a question \n \n     Give a binary score 'yes' or 'no'. Yes' means that the answer resolves the question.", "type": "system"}}, {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "HumanMessage"], "kwargs": {"content": "User question: \n\n What are the differences between the TIBER-EU framework and DORA's threat-led penetration testing (TLPT) requirements? \n\n LLM generation: Based on the provided context, DORA\u2019s threat-led penetration testing (TLPT) requirements are designed to be in alignment with the TIBER-EU framework. DORA mandates that the TLPT tests should be conducted in accordance with the TIBER-EU framework (Document metadata: 'source': 'https://www.bafin.de/DE/Aufsicht/DORA/Digitale_Resilienz_TLPT/Digitale_Resilienz_TLPT_artikel.html'). The TIBER-EU framework is a foundation for the TLPT methodology under DORA, as specified in Article 26 and 27. The TLPT requirements under DORA have been formalized to become obligatory, whereas frameworks like TIBER-DE were previously voluntary (Document metadata: 'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/DE/Fachartikel/2024/fa_bj_2402_DORA.html'). The regulatory technical standards (RTS) will further define the specific details of these tests under DORA, drawing heavily on the TIBER-EU framework (Document metadata: 'source': 'https://www.bafin.de/SharedDocs/Veroeffentlichungen/EN/Fachartikel/2024/fa_bj_2402_DORA_en.html').", "type": "human"}}]

llm:
{"id": ["langchain", "chat_models", "openai", "ChatOpenAI"], "kwargs": {"max_retries": 2, "model_name": "gpt-3.5-turbo", "n": 1, "openai_api_key": {"id": ["OPENAI_API_KEY"], "lc": 1, "type": "secret"}, "temperature": 0.7}, "lc": 1, "name": "ChatOpenAI", "type": "constructor"}---[('parallel_tool_calls', False), ('stop', None), ('tool_choice', {'type': 'function', 'function': {'name': 'GradeAnswer'}}), ('tools', [{'type': 'function', 'function': {'name': 'GradeAnswer', 'description': 'Binary score to assess answer addresses question.', 'parameters': {'properties': {'binary_score': {'description': "Answer addresses the question, 'yes' or 'no'", 'type': 'string'}}, 'required': ['binary_score'], 'type': 'object'}}}])]

response:
{"lc": 1, "type": "constructor", "id": ["langchain", "schema", "output", "ChatGeneration"], "kwargs": {"generation_info": {"finish_reason": "stop", "logprobs": null}, "type": "ChatGeneration", "message": {"lc": 1, "type": "constructor", "id": ["langchain", "schema", "messages", "AIMessage"], "kwargs": {"content": "", "additional_kwargs": {"tool_calls": [{"id": "call_KmzPPi3qe2bJqTZjXRGeSewt", "function": {"arguments": "{\"binary_score\":\"yes\"}", "name": "GradeAnswer"}, "type": "function"}], "refusal": null}, "response_metadata": {"token_usage": {"completion_tokens": 6, "prompt_tokens": 414, "total_tokens": 420, "completion_tokens_details": {"audio_tokens": null, "reasoning_tokens": 0}, "prompt_tokens_details": {"audio_tokens": null, "cached_tokens": 0}}, "model_name": "gpt-3.5-turbo-0125", "system_fingerprint": null, "finish_reason": "stop", "logprobs": null}, "type": "ai", "id": "run-0ad98157-604b-4854-aae4-83ca906ed95e-0", "tool_calls": [{"name": "GradeAnswer", "args": {"binary_score": "yes"}, "id": "call_KmzPPi3qe2bJqTZjXRGeSewt", "type": "tool_call"}], "usage_metadata": {"input_tokens": 414, "output_tokens": 6, "total_tokens": 420, "input_token_details": {"cache_read": 0}, "output_token_details": {"reasoning": 0}}, "invalid_tool_calls": []}}}}


