Key Takeaways
1. SOC 2 Mapping aligns a service organization’s SOC 2 controls with other relevant frameworks.
2. SOC 2 Mapping helps streamline compliance with other frameworks while pursuing SOC 2 audit compliance.
3. IS Partners specializes in all relevant frameworks for cybersecurity. Our expertise can help you navigate the overlapping requirements of these frameworks and guide you to compliance faster.
What is SOC 2 Mapping?
SOC 2 Mapping is the process of aligning the requirements and controls of the SOC 2 framework with those of other relevant frameworks or security standards. This involves identifying commonalities and overlaps between SOC 2 and other compliance standards such as ISO 27001, GDPR, or NIST. By doing so, organizations can streamline their compliance efforts, ensuring they meet multiple standards simultaneously without unnecessary duplication of work.
SOC 2 mapping was established because the AICPA recognized the need to clarify the gray area between SOC 2 compliance and other security frameworks. This mapping generally helps identify the overlaps and differences and offers much clearer guidance for service organizations.
What are the SOC 2 Mapping Components?
The SOC 2 mapping components consist of five trust services categories, as developed by the AICPA: security, availability, processing integrity, confidentiality, and privacy. Let’s dive into each category to understand them better:
- Category 1 – Security: The security category is central to SOC 2 mapping. With over 30 mandatory criteria, this category protects IT systems from unauthorized access, safeguarding providers and consumers of these services.
- Category 2 – Availability: The availability category in SOC 2 mapping ensures that products, services, or systems are accessible at the right time, as agreed upon between a company and its buyer.
- Category 3 – Confidentiality: The confidentiality category of SOC 2 ensures that confidential information is protected and securely shared. This includes sensitive data such as customer business secrets and intellectual property.
- Category 4 – Processing Integrity: The processing integrity category of SOC 2 evaluates an organization’s controls to ensure that data is processed securely and accurately.
- Category 5 – Privacy: The privacy category in SOC 2 concerns how an organization handles personal information. It covers how data is collected, used, retained, disclosed, and disposed of. This category also ensures that the organization adheres to its privacy notice and the AICPA’s generally accepted privacy principles (GAPP).
What are the SOC 2 Common Criteria?
The SOC 2 Criteria outline specific requirements that organizations must meet within the SOC 2 framework. A key subset of these criteria is the SOC 2 Common Criteria (CC), a list of core activities and requirements that is aligned with the nine key areas of the COSO Internal Control-Integrated Framework.
Moreover, adhering to the SOC 2 Common Criteria simplifies the mapping process by providing a solid foundation that overlaps many other compliance standards such as ISO 27001, GDPR, or NIST.
| COSO Internal Control Area | Objective |
|---|---|
| CC1 – Control Environment | Evaluates the organization’s dedication to integrity, ethical values, and governance. |
| CC2 — Communication and Information | Prioritizes good communication and information management to uphold security and compliance. |
| CC3 – Risk Assessment | Identifies and evaluates risks that may impact organizational objectives. |
| CC4 – Monitoring of Controls | Ensuring continuous compliance and efficacy of implemented controls. |
| CC5 – Control Activities | Implements specific measures to mitigate risks and achieve organizational goals. |
| CC6 – Logical and Physical Access Controls | Highlights secure access mechanisms to prevent unauthorized system entry. |
| CC7 – System Operations and Availability | Guaranteeing uninterrupted system operations and accessibility. |
| CC8 – Change Management | Enforces controlled procedures for implementing system, application, and process modifications. |
| CC9 – Risk Mitigation | Assesses risks associated with external vendors and business partnerships. |
Employ the help of IS Partners to fulfill the SOC 2 Common Criteria and make your way to compliance with other frameworks easier! With the help of our expert auditors, you can streamline the establishment of your security controls, identify gaps, and efficiently address them.
Benefits of SOC 2 Mapping
The main goal of mapping is to help organizations expand their compliance portfolio efficiently, enhance security, and gain business advantages by aligning SOC 2 with other relevant frameworks.
Below, we list the most notable benefits of SOC 2 mapping.
Expand compliance portfolio
SOC 2 common criteria mapping efficiently expands an organization’s compliance portfolio by uncovering overlaps and commonalities among various frameworks.
For example, if a company must comply with SOC 2 and ISO 27001, mapping can reveal shared controls and requirements between the two standards. This means the company can address both requirements with a single set of policies and procedures, minimizing redundancy while optimizing resources.
Strengthen security
Successful SOC 2 mapping helps develop and implement the toughest and most stringent security controls to ensure security at the highest level. For example, mapping to the NIST Cybersecurity Framework or NIST 800-171 improves risk management and security posture.
In addition, mapping the compliance processes of SOC 2 and PCI DSS can help organizations streamline their security efforts by identifying overlapping controls. For instance, both frameworks emphasize strict access controls (PCI DSS Requirement 7 and SOC 2’s Security Principle), encryption of sensitive data (PCI DSS Requirement 3 and SOC 2’s Confidentiality Principle), and continuous monitoring (PCI DSS Requirement 10 and SOC 2’s Availability Principle).
By aligning these key elements, organizations can reduce redundant efforts while ensuring comprehensive protection of sensitive data.
Builds customer relationships
This demonstrates a commitment to circling the wagon of customer data and building stronger client relationships. For example, mapping to PCI-DSS assures clients of robust measures for securely handling payment card information.
If the benefits make sense, it’s time to onboard experienced auditors to efficiently complete your SOC 2 mapping. At IS Partners, our team has vast experience navigating the evolution of SOC 2 common criteria. Reach out to us to achieve an industry-standard compliance journey across multiple frameworks.
SOC 2 Mapping to NIST 800-53
Mapping SOC 2 to NIST 800-53 involves aligning the controls and requirements of both frameworks to ensure comprehensive security coverage.
NIST 800-53 is a detailed framework with 18 control families and over 900 controls. Its subset, the NIST CSF, shares some requirements while leaving out others that are more suited to federal agencies.
Similarly, SOC 2 and NIST 800-53 have their core components: Trust Services Criteria for SOC 2 and 20 Control Families for NIST 800-53.
Common Controls Between SOC 2 and NIST 800-53 Framework
NIST 800-53 and SOC 2 overlap in several areas regarding mapping controls. Some of the controls that align between the two compliance frameworks include:
- Access Controls. Both frameworks include measures for managing user access to systems and data.
- Incident Response. NIST 800-53 and SOC 2 both address controls for detecting, responding to, and reporting incidents to minimize the impact of security breaches.
- Risk Assessment. Both frameworks emphasize regular risk assessments to identify and mitigate potential security risks to organizational assets.
- Security Awareness Training. Both frameworks require organizations to provide training to employees on security policies and procedures to enhance security awareness.
- Data Encryption. Both frameworks include controls for encrypting sensitive data to protect it from unauthorized access or disclosure.
Both SOC 2 and NIST 800-53 aim to protect sensitive data’s security, integrity, and privacy, especially in cloud environments. The frameworks emphasize the importance of regular reviews, audits, and continuous monitoring of security controls.
However, while there is significant overlap, SOC 2 and NIST SP 800-53 are not perfectly aligned. SOC 2 focuses specifically on service organizations with a narrower scope, whereas NIST SP 800-53 is more comprehensive. Organizations should carefully evaluate their unique needs and regulatory requirements when deciding which framework(s) to adopt.
SOC 2 Mapping to ISO 27001
Mapping SOC 2 to ISO 27001 can streamline your company’s process. Both frameworks share numerous requirements, controls, and criteria, minimizing the need for duplicative efforts.
There is a significant overlap between SOC 2 and ISO 27001, with approximately 80% of their criteria aligning, according to the AICPA’s official mapping spreadsheet. The controls in both standards overlap by as much as 96%, covering foundational security principles such as data security, integrity, availability, and confidentiality.
Notably, here are some key areas where SOC 2 and ISO 27001 controls overlap:
- Access Control. Both frameworks require managing user access to systems and data.
- Information Security Policies. Both mandate the establishment and maintenance of security policies.
- Risk Assessment. Regular assessments are required to identify and mitigate security risks.
- Incident Management. Procedures for detecting, reporting, and responding to incidents are necessary.
- Monitoring and Logging. Implementing mechanisms to track security events is essential.
- Continual Improvement. Both promote ongoing reviews and updates to security controls.
Compliance with these standards is verified through external audits, with SOC 2 audits performed by licensed CPAs and ISO 27001 audits conducted by accredited certification bodies. Both require annual audits and emphasize continuous improvement and periodic review of security controls.
While SOC 2 is more common in North America and ISO 27001 has broader global adoption, both standards are internationally recognized and accepted. Many large enterprises accept either SOC 2 or ISO 27001 for their vendor due diligence requirements, highlighting their interchangeable acceptance in the industry.
SOC 2 Mapping to HIPAA
Both SOC 2 and HIPAA focus on security and privacy, and their principles and controls often align. Security and privacy principles within SOC 2 can align with the HIPAA Security Rule and Privacy Rule requirements.
Many organizations use their existing HIPAA compliance program as a foundation to achieve SOC 2 compliance through process mapping analysis.
Mapping helps organizations streamline compliance by identifying overlaps and leveraging existing controls and processes. Combining SOC 2 and HIPAA audits can be more efficient than conducting them separately, and a SOC 2+HIPAA report assures both healthcare and non-healthcare customers.
Common Controls Between SOC 2 And HIPAA Framework
Organizations can leverage their HIPAA compliance program to achieve SOC 2 compliance by mapping existing processes and analyzing crosswalks.
Below are some technical overlaps between the two frameworks.
- Administrative Safeguards. SOC 2 and HIPAA require organizations to implement security policies, risk management processes, and employee training to ensure proper data handling and protection.
- Physical Safeguards. SOC 2 emphasizes controls over physical access to systems and data, including secure facilities and controlled access mechanisms. Similarly, HIPAA specifies requirements for facility access controls, such as contingency operations, workstation use and security, and device and media controls, including disposal procedures.
- Technical Safeguards. Both frameworks cover criteria for access controls, encryption, and monitoring to protect data integrity and confidentiality.
SOC 2 reports covering confidentiality, privacy, security, availability, and processing integrity can effectively map to HIPAA rules and regulations. This alignment simplifies the compliance goals and ensures the protection of sensitive information.
How Can IS Partners Help?
Security is at the heart of SOC 2 compliance requirements, including strong operational processes and defenses against various cyber attacks. Similarly, other frameworks share the same foundation. Identifying these overlaps can help service organizations comply with them more efficiently.
The key is to rely on a professional who understands all the connected frameworks and helps you formulate the best course of action. At IS Partners, we specialize in audit processes and compliance. We’re here to help you align your compliance activities with your strategic objectives, risk profile, and applicable laws and regulations.
Our full U.S.-based team ensures a deep understanding of local business nuances and regulations. Rely on our expert auditors to assess your control environment and draft the most optimal map for connecting SOC 2 and other critical cybersecurity frameworks.
Contact us today for a free consultation with one of our experts!
