Data Backups: Operationalizing Compliance with SOC 2 and ISO 27001
Organizations often perceive data loss as a question of backup and disaster recovery only. While this is true in the most basic sense, they should not forget about the implications of modern data security standards like SOC 2 or ISO 27001, which they are subject to. For auditors, lost data is likely to mean something else: a control failure.
Let’s have a practical look at how you should implement backup to make it not just your failsafe mechanism but also a proof of compliance and trust in the eyes of investors, customers, partners, and… auditors.
Let's Set the Scene: SOC 2 and ISO 27001 Revisited
SOC 2 is a U.S. auditing standard based on 5 Trust Services Criteria (TSCs), such as Security (the mandatory one), Availability, Processing Integrity, Confidentiality, and Privacy. Its goal is to assure customers that their data is handled securely by a service provider. On passing an audit, the service provider receives an Attestation Report. Commonly, audits are taken annually.
ISO/IEC 27001 is an international standard defining an Information Security Management System (ISMS) and a set of 93 controls (2022 revision) for proper risk assessment. Its main purpose is to build, implement, and continuously improve a comprehensive, risk-centered security program. The outcome of passing an audit by an accredited body is a Certification valid for 3 years, but reviewed annually.
How to Map Backup Practices to SOC 2 and ISO 27001 for 100% Coverage
To pass a SOC 2 audit, you need to demonstrate the effectiveness of your measures under TSCs. In the case of ISO 27001, you must make backup-related measures a part of your ISMS and risk management.
Refer to the table below for specific mappings of backup-related activities (practical measures):
| Backup area | SOC 2 Criteria (TSCs) | ISO 27 001 Annex A Controls | Practical measures (your proof) |
|---|---|---|---|
| Policy and planning | Availability (A1.1, A1.2), Security (CC7.1) | A.5.1 (Policies for information security), A.5.30 (ICT readiness for business continuity) |
|
| Security of backups | Security (CC6.6, CC6.7), Confidentiality (C1.1) | A.8.24 (Use of cryptography) |
|
| Access control | Security (CC6.1–CC6.3) | A.8.3 (Information access restriction), A.8.5 (Secure authentication) |
|
| Running backups | Availability (A1.2), Security (CC7.1) | A.8.13 (Information backup) |
|
| Isolation (against ransomware) | Security (CC6.4, CC6.6), Availability (A1.2) | A.8.13, A.5.30 (not stated explicitly) |
|
| Testing restore | Availability (A1.3) | A.8.13 (Information backup), A.5.30 (ICT readiness for business continuity) |
|
| Data integrity | Processing Integrity (PI1.4, P1.5) | A.8.13 (not stated explicitly) |
|
| Retention and deletion | Confidentiality (C1.2), Privacy (P4.2) | A.8.10 (Information deletion) |
|
From Policy to Proof: What Auditors Actually Look For
Either compliance framework emphasizes traceability, accountability, and evidence. That’s why an auditor is likely to ask you to provide the following pieces of evidence to verify the practical implementation of the backup-related measures:
- Official policy documents, including backup, DR, and data disposal policies.
- Screenshots showing users and roles, your backup solution settings, policies, dashboards, etc.
- Architectural diagrams of your backup system scheme.
- Logs from SIEM and your backup tool, including test restore ones.
One more tip: It might be a good idea to run a self-audit right before taking the actual one to verify you have all the evidence and become more confident.
A Non-Negotiable Pillar of Trust
Remember, your attestation or certification is not negotiable. Strictly follow the practical implementation of each measure and document everything, applying the same security rigor to backup and production systems alike.
Also, a reliable backup solution that supports features like automated backups, replication, test restores, retention policies, a monitoring dashboard, and audit reports is not only mandatory but also provides great help when it comes to collecting the evidence of meeting compliance requirements.
Last but not least, compliance is a continuous process, so be sure to follow the latest requirements, educate your employees, and stick to a backup solution that keeps up with the latest trends.
