Unlocking Common SOC 2 Criteria Mapping: Your Ultimate Guide

Discover SOC 2 compliance across multiple frameworks

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The American Institute of Certified Public Accountants (AICPA) has created System and Organization Controls (SOC) audits to assist service organizations in reassuring their clients about data security. Among these audits, SOC 2 is the predominant choice for assessing the adequacy of a company’s security practices.

An integral aspect of SOC 2 reporting involves SOC 2 common criteria mapping, which plays a crucial role in ensuring comprehensive compliance with regulatory standards.

This guide explores the details of SOC 2 common criteria mapping, showing how it connects with standards like ISO 27001, NIST CSF, COBIT 5, NIST 800–53, and EU GDPR to ensure robust cybersecurity and regulatory compliance.

What Are the SOC 2 Common Criteria?

The SOC 2 common criteria are organized into five categories:

1. Security: The system is protected against unauthorized access (both physical and logical).
2. Availability: The system is available for operation and use as committed or agreed.
3. Processing Integrity: System processing is complete, valid, accurate, timely, and authorized.
4. Confidentiality: Information designated as confidential is protected as committed or agreed.
5. Privacy: Personal information is collected, used, retained, disclosed, and disposed of in conformity with the commitments in the entity’s privacy notice.

These criteria ensure that organizations implement comprehensive controls to protect and manage their information systems effectively.

What is SOC 2 Common Criteria Mapping?

SOC 2 Common Criteria Mapping refers to the process of aligning the requirements and controls outlined in SOC 2 (System and Organization Controls 2) reports with other relevant frameworks and standards.

SOC 2 is a framework developed by the American Institute of CPAs (AICPA) that focuses on controls related to security, availability, processing integrity, confidentiality, and privacy of data.

Compliance with regulatory standards is crucial in cybersecurity, requiring companies to meet various requirements that may span multiple frameworks. The AICPA provides guidance by aligning SOC 2 trust services criteria with several frameworks, including:

• Mapping SOC 2 to ISO 27001
• Mapping SOC 2 to NIST CSF
• Mapping SOC 2 to COBIT 5
• Mapping SOC 2 to NIST 800–53
• Mapping SOC 2 to EU GDPR

It’s important to note that SOC 2 audits follow the Trust Services Criteria (TSC), specifically referring to these specifications during the audit process.

There are several frameworks of SOC 2 common criteria mapping that organizations typically undertake to align their compliance efforts:

1. SOC 2 to ISO 27001 Mapping

ISO 27001 is an international standard that specifies the requirements for an information security management system (ISMS). It helps organizations manage the security of assets such as financial information, intellectual property, employee details, or information entrusted by third parties. Mapping SOC 2 to ISO 27001 involves identifying and aligning common controls to create a unified compliance strategy.

Key Areas of Overlap

1. Risk Management: Both SOC 2 and ISO 27001 emphasize the importance of risk management. Organizations must conduct regular risk assessments and continuously monitor potential threats.
2. Access Controls: Controlling access to sensitive information is critical in both frameworks. Implementing strict access controls prevents unauthorized access and protects data integrity.
3. Incident Response: Having a robust incident response plan is essential in both SOC 2 and ISO 27001. This ensures quick and effective responses to security breaches, minimizing damage and recovery time.

By mapping these common areas, organizations can develop a cohesive compliance strategy that meets the requirements of both SOC 2 and ISO 27001, ensuring comprehensive protection of their information assets.

2. SOC 2 to NIST CSF Mapping

The NIST Cybersecurity Framework (CSF) is a voluntary framework that consists of standards, guidelines, and practices to promote the protection of critical infrastructure. Mapping SOC 2 to NIST CSF ensures that organizations adhere to robust cybersecurity practices.

Core Functions Alignment

1. Identify: Both SOC 2 and NIST CSF require identifying and managing cybersecurity risks to systems, assets, data, and capabilities.
2. Protect: Implementing safeguards to ensure the delivery of critical infrastructure services is a common requirement in both frameworks.
3. Detect: Developing and implementing activities to identify the occurrence of cybersecurity events is crucial.
4. Respond: Creating and implementing appropriate activities to respond to detected cybersecurity incidents is essential for both SOC 2 and NIST CSF.
5. Recover: Developing and implementing plans to maintain resilience and restore capabilities or services impaired during a cybersecurity incident is a shared goal.

Aligning SOC 2 common criteria with NIST CSF helps organizations create a comprehensive cybersecurity strategy, enhancing their ability to manage and mitigate risks effectively.

3. SOC 2 to COBIT 5 Mapping

COBIT 5 is a business framework for the governance and management of enterprise IT. It supports organizations in achieving their objectives for the governance and management of enterprise IT. Mapping SOC 2 to COBIT 5 involves aligning IT governance processes with SOC 2 criteria to ensure comprehensive compliance.

Key Governance and Management Objectives

1. Alignment of Business and IT Goals: Both SOC 2 and COBIT 5 emphasize aligning IT processes with business objectives to ensure that IT supports business goals effectively.
2. Risk Optimization: Identifying and managing risks is a fundamental aspect of both frameworks, ensuring that IT risks are adequately addressed.
3. Resource Management: Efficiently managing IT resources is crucial for both SOC 2 and COBIT 5, ensuring optimal performance and compliance with regulatory requirements.

Mapping SOC 2 to COBIT 5 allows organizations to integrate IT governance with their overall business strategies, ensuring that IT processes support and enhance business objectives.

4. SOC 2 to NIST 800–53 Mapping

NIST 800–53 provides a catalog of security and privacy controls for federal information systems and organizations. Mapping SOC 2 to NIST 800–53 helps organizations comply with federal standards and improve their security posture.

Security and Privacy Controls

1. Access Control: Both SOC 2 and NIST 800–53 emphasize controlling access to systems and data to prevent unauthorized access and ensure data integrity.
2. Audit and Accountability: Implementing audit mechanisms to track system and user activities is essential in both frameworks.
3. Configuration Management: Maintaining security through proper configuration and change management processes is a shared requirement.
4. Contingency Planning: Having plans in place to ensure business continuity in the event of a disruption is critical for both SOC 2 and NIST 800–53.

By mapping SOC 2 common criteria to NIST 800–53, organizations can ensure they meet stringent federal requirements while maintaining robust security practices.

5. SOC 2 to EU GDPR Mapping

The General Data Protection Regulation (GDPR) is a regulation in EU law on data protection and privacy. Mapping SOC 2 to GDPR helps organizations ensure they protect personal data in accordance with European regulations.

Key Data Protection Principles

1. Lawfulness, Fairness, and Transparency: Both frameworks require transparent data processing practices to ensure that data is handled lawfully and fairly.
2. Data Minimization: Ensuring that only necessary data is collected and processed is a common requirement.
3. Accuracy: Maintaining accurate data and allowing for corrections when necessary is essential for both SOC 2 and GDPR.
4. Integrity and Confidentiality: Ensuring the security and confidentiality of data is a critical aspect of both frameworks.

Aligning SOC 2 with GDPR ensures that organizations handle personal data responsibly and in compliance with European standards, thereby protecting the privacy of individuals.

Compliance with Confidence: A Comprehensive Guide to SOC 2 Mapping

Benefits of SOC 2 Common Criteria Mapping

1. Streamlined Compliance: By mapping SOC 2 criteria to other frameworks, organizations can streamline their compliance processes and reduce duplication of effort.
2. Improved Security Posture: Aligning with multiple frameworks ensures robust security controls are in place, reducing the risk of breaches.
3. Regulatory Alignment: Mapping helps organizations ensure they meet various regulatory requirements, avoiding potential penalties and legal issues.
4. Enhanced Trust and Transparency: Demonstrating compliance with multiple standards builds trust with clients and stakeholders, showcasing a commitment to security and privacy.

Conclusion

SOC 2 common criteria mapping is a vital process for organizations aiming to achieve comprehensive compliance and robust security. By aligning SOC 2 standards with frameworks like ISO 27001, NIST CSF, COBIT 5, NIST 800–53, and GDPR, organizations can streamline their compliance efforts, enhance their security posture, and build trust with stakeholders. Embracing this mapping approach ensures that organizations are well-equipped to navigate the complex landscape of data security and regulatory compliance.

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