ISO 9001 ↔ SOX (Sarbanes-Oxley) Section 404
9 canonical controls in Keel’s library satisfy clauses of both ISO 9001 and SOX (Sarbanes-Oxley) Section 404. Implement each once, attach the evidence once, and it counts toward each standard. The overlap is the work you don’t repeat.
Controls that satisfy both
| Canonical control | ISO 9001 clauses | SOX (Sarbanes-Oxley) Section 404 clauses |
|---|---|---|
|
Risk assessment & treatment
A documented process to identify, analyze, evaluate, and treat information security risks on a defined cadence.
|
6.1 | P6, P7, P9 |
|
Change management
Changes to systems and software are requested, reviewed, tested, approved, and tracked.
|
6.3 | P9, P11 |
|
Third-party / vendor risk management
Due diligence, contractual safeguards, and ongoing monitoring of vendors that handle your data.
|
8.4 | P11, P15 |
|
Security awareness training
Ongoing security awareness training for all personnel, with completion tracking.
|
7.2, 7.3 | P4, P14 |
|
Document & records control
Documented information is created, approved, versioned, and controlled; records are retained and protected.
|
7.5 | P12, P13 |
|
Competence management
Roles requiring competence are defined; training and evaluation ensure personnel are qualified.
|
7.2 | P4 |
|
Internal audit program
A risk-based internal audit program evaluates conformity and effectiveness at planned intervals.
|
9.2 | P16 |
|
Management review
Leadership reviews management-system performance at planned intervals and drives improvement decisions.
|
9.3 | P2, P16, P17 |
|
Nonconformity & corrective action (CAPA)
Nonconforming outputs are controlled; root causes are analyzed and corrective actions tracked to closure.
|
8.7, 10.2 | P17 |
Clause identifiers (ISO 9001 and SOX (Sarbanes-Oxley) Section 404) are referenced factually for mapping. Keel is not affiliated with or endorsed by the bodies that publish these standards. Control descriptions are Keel’s own; a framework’s full authored control count is on its framework page.
Why this is one project, not two
On a crosswalk-native model, SOX (Sarbanes-Oxley) Section 404 mostly lights up controls you already built for ISO 9001. You’re not re-uploading the same screenshot for a second audit. You apply the framework and see the genuine delta worth working. That’s the whole idea behind collect once, comply everywhere.