NIST SP 800-171 ↔ SOX (Sarbanes-Oxley) Section 404
10 canonical controls in Keel’s library satisfy clauses of both NIST SP 800-171 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 | NIST SP 800-171 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.
|
3.11, 3.11.1 | P6, P7, P9 |
|
Access control policy
Rules for granting, reviewing, and revoking access to systems and data based on business need and least privilege.
|
3.1, 3.1.5 | P11 |
|
User provisioning & deprovisioning
Joiner/mover/leaver process to grant, change, and promptly remove access across systems.
|
3.5, 3.1.5 | P11 |
|
Multi-factor authentication
MFA enforced for remote access, administrative access, and access to sensitive systems and data.
|
3.5.3 | P11 |
|
Encryption in transit & at rest
Strong cryptography protects sensitive data in transit over public networks and at rest in storage.
|
3.13.11, 3.13.8 | P11 |
|
Logging & monitoring
Security-relevant events are logged, protected, retained, and reviewed for anomalies.
|
3.3, 3.3.1 | P11, P13 |
|
Vulnerability management
Regular scanning, prioritization, and remediation of vulnerabilities across systems and applications.
|
3.11.2, 3.11.3 | P11 |
|
Incident response
A documented, tested plan to detect, triage, contain, remediate, and communicate security incidents.
|
3.6, 3.6.1 | P11 |
|
Security awareness training
Ongoing security awareness training for all personnel, with completion tracking.
|
3.2, 3.2.1 | P4, P14 |
|
Asset inventory
An inventory of hardware, software, and information assets with assigned owners.
|
3.4, 3.4.1 | P11 |
Clause identifiers (NIST SP 800-171 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 NIST SP 800-171. 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.