How to Leverage SOC 2 for ISO 27001 Certification?
Key Takeaways
- SOC 2 Provides a Strong Foundation: Organizations with SOC 2 often already have key security practices in place, including risk assessments, access controls, incident response, and vendor management.
- ISO 27001 Adds Governance Requirements: ISO 27001 focuses on establishing an Information Security Management System (ISMS), along with risk treatment, management reviews, and internal audits.
- Map Existing Controls: Many SOC 2 controls can align with ISO 27001 requirements, helping organizations leverage their existing security program and reduce duplication.
- Identify and Address Gaps: An ISO 27001 readiness assessment can help identify missing governance requirements and prepare an organization for certification.
When looking at security frameworks, several types often stand out, such as ISO, NIST, and SOC 2. While these frameworks share common security objectives, they are not interchangeable and each provides a different approach to managing security and compliance. Organizations that have already implemented SOC 2 may find that pursuing ISO 27001 certification is a natural next step for strengthening governance, risk management, and overall security maturity.
What Exists in a SOC 2 Environment?
In a SOC 2 environment, there are several aspects in ISO that are already implemented. The Trust Services Criteria, created by the American Institute of Certified Public Accountants (AICPA), often requires policies and procedures to be documented and reviewed. Risk assessments are performed as part of Common Criteria 3. Access controls are implemented in Common Criteria 6, along with incident response which is often covered in Common Criteria 7. Vendor management is also an important component of SOC 2 which is covered in Common Criteria 9.
What Else Is Required by ISO 27001?
While SOC 2 covers a portion of the requirements in ISO, there are several additional components included. ISO is built around the implementation of an Information Security Management System (ISMS). This ISMS should meet the standard clauses 4-10 outlined by ISO 27001. Once the ISMS has been established, organizations should evaluate and implement applicable Annex A controls based on their risk assessment and risk treatment process. These include organizational and people controls, as well as physical and technical controls.
How Can SOC 2 Be Mapped to ISO 27001?
When mapping controls from SOC 2 to ISO, there are some areas that have stronger overlaps. As mentioned above, Physical and Logical access in Common Criteria 6 can cover some of the Technical and Physical controls in ISO. For example, SOC 2 Common Criteria 3 aligns closely with ISO 27001 Clause 6 requirements related to risk assessment and risk treatment, while Common Criteria 6 logical access controls often support Annex A access control requirements. Vendor management, incident response, and change management can also be mapped to the controls or requirements within ISO 27001.
What Are Common Gaps Between SOC 2 and ISO 27001?
When comparing ISO and SOC 2, gaps are often ISO-specific governance requirements, such as the ISMS, risk treatment methodology, Statement of Applicability, management reviews, and internal audits rather than new technical security controls. To address these and other potential gaps, an ISO 27001 readiness assessment can be performed.
Security frameworks, such as ISO 27001, SOC 2, and NIST, provide valuable structure for building and maintaining an effective security program. Organizations that have already implemented SOC 2 often times have many of the core controls needed for ISO 27001 certification. By addressing any gaps and leveraging overlaps, organization can reduce the effort needed to achieve certification.
For more information on these services and more, be sure to visit our ISO 27001 and SOC 2 service pages. If your entity is interested in obtaining any additional information on ISO 27001 readiness assessments or SOC 2 services, don’t hesitate to contact Dave Hammarberg, CPA, CFE, CISSP, GSEC, MCSE, CISA, CHQP, CCSFP, LCCA.
About the Author
Josh Bantz, CPA, CCSFP, CHQP, CISA, CCP is a Director with the firm. He is a key member of the firm’s Audit & Assurance Segment, primarily working with clients in the firm’s Service Organization Controls (SOC) Practice, HITRUST and CM… Read more
