AI Vendor Certifications Explained: SOC 2, ISO 27001, and What They Mean
When an AI vendor claims to have "enterprise-grade security," certifications are how you verify it. But certifications can be confusing, and they don't tell the whole story. This guide demystifies the major security certifications and explains what they actually mean for your AI vendor decisions.
Executive Summary
- Certifications demonstrate baseline security hygiene. They prove a vendor has implemented and maintains a formal security program.
- Not all certifications are equal. SOC 2 Type II is more rigorous than Type I. ISO 27001 scope matters as much as the certification itself.
- Certifications have gaps for AI. Traditional frameworks don't cover AI-specific risks like training data usage or prompt injection.
- Verification is essential. Ask to see reports and certificates. Expired or limited-scope certifications provide false assurance.
- Certifications are necessary but not sufficient. They should be one input to vendor decisions, not the only input.
- Industry-specific certifications add context. Healthcare, finance, and education have additional relevant certifications.
- Beyond certifications, assess directly. Supplement certifications with questionnaires and contractual protections.
Why This Matters Now
AI vendors range from mature enterprises to early-stage startups. Certifications provide a standardized way to assess security maturity, but only if you understand what they mean:
- Informed decisions: Know what a certification actually covers
- Appropriate weighting: Don't over- or under-rely on certifications
- Gap identification: Understand where certifications fall short for AI
- Verification skills: Know how to confirm certification validity
Major Security Certifications Compared
| Certification | What It Proves | Audit Frequency | AI Coverage | Verification |
|---|---|---|---|---|
| SOC 2 Type I | Controls exist at a point in time | One-time snapshot | Minimal | Request report |
| SOC 2 Type II | Controls operated effectively over 6-12 months | Annual | Minimal | Request report |
| ISO 27001 | Information security management system exists | Annual surveillance, 3-year recertification | Minimal | Verify certificate |
| ISO 27701 | Privacy management system extension | With ISO 27001 | Privacy focus, not AI | Verify certificate |
| ISO 42001 | AI management system (new) | TBD | AI-specific | Emerging |
| CSA STAR | Cloud security self-assessment or audit | Varies by level | Cloud focus | CSA registry |
SOC 2: The Deep Dive
What Is SOC 2?
SOC 2 (System and Organization Controls 2) is an audit framework developed by the American Institute of CPAs (AICPA). It evaluates an organization's controls related to:
- Security (required): Protection against unauthorized access
- Availability (optional): System operational and usable as agreed
- Processing Integrity (optional): System processing is complete, valid, and timely
- Confidentiality (optional): Information designated as confidential is protected
- Privacy (optional): Personal information is handled appropriately
Type I vs. Type II
| Aspect | Type I | Type II |
|---|---|---|
| What's tested | Control design at a point in time | Control design and operating effectiveness over time |
| Period covered | Single date | Typically 6-12 months |
| Value | Demonstrates controls exist | Demonstrates controls work consistently |
| Red flag | Mature vendors should have Type II | Type I only is acceptable for early-stage |
Always ask for Type II. Type I is essentially a snapshot that doesn't prove controls actually work over time.
How to Review a SOC 2 Report
- Check the report date. Reports older than 12 months may not reflect current practices.
- Verify the service scope. Does it cover the specific services you'll use?
- Review Trust Service Categories. For AI vendors, Security and Confidentiality are essential.
- Look for exceptions. The auditor's opinion should be unqualified. Exceptions indicate control failures.
- Read management's assertions. Understand what they're claiming versus what's tested.
- Check complementary user entity controls. These are your responsibilities.
ISO 27001: The Deep Dive
What Is ISO 27001?
ISO/IEC 27001 is an international standard for information security management systems (ISMS). It provides a framework for establishing, implementing, maintaining, and continually improving security.
Certification Components
- ISMS scope: What's covered (and what's not)
- Statement of Applicability (SoA): Which of 93 controls apply
- Risk assessment: How risks are identified and treated
- Continuous improvement: How the system evolves
How to Evaluate ISO 27001
- Verify the certificate. Check with the certification body that it's valid.
- Review the scope. Ensure it covers the services you'll use.
- Request the Statement of Applicability. Understand which controls apply.
- Check the certification body. Use accredited bodies (UKAS, JAS-ANZ, etc.).
- Note the issue and expiry dates. Certificates are valid for 3 years with annual surveillance.
Scope Gotchas
A common issue: certification scope is narrower than you assume.
Example: Vendor's ISO 27001 covers "corporate headquarters IT operations" but not the cloud platform hosting your data.
Always verify: "Does your ISO 27001 scope include the specific services we're evaluating?"
ISO 27701: Privacy Extension
What Is ISO 27701?
ISO 27701 extends ISO 27001 to cover privacy information management. It addresses:
- Privacy by design
- Data subject rights
- Consent management
- Data processing records
When It Matters
Relevant when vendors process personal data. It demonstrates structured privacy management beyond basic security.
Limitation
ISO 27701 addresses privacy broadly but doesn't specifically cover AI-related privacy concerns like training data or model behavior.
ISO 42001: The AI-Specific Standard (Emerging)
What Is ISO 42001?
ISO/IEC 42001 is a new standard (published 2023) for AI management systems. It specifically addresses:
- Responsible AI development and deployment
- AI risk management
- AI governance
- Transparency and accountability
Current State
As of 2026, ISO 42001 is still being adopted. Few vendors have certification yet, but expect this to become more common.
What to Ask
"Are you pursuing ISO 42001 certification? What's your timeline?"
Cloud Security Alliance (CSA) STAR
What Is CSA STAR?
The Security, Trust, Assurance, and Risk (STAR) program provides a registry of cloud provider security postures.
STAR Levels
| Level | Description |
|---|---|
| Level 1: Self-Assessment | Vendor completes questionnaire (CAIQ) |
| Level 2: Third-Party Audit | Independent audit against CSA standards |
| Level 3: Continuous Monitoring | Ongoing automated assessment |
Value
CSA STAR focuses specifically on cloud services, making it relevant for cloud-based AI platforms.
What Certifications Don't Cover
AI-Specific Gaps
Traditional certifications have blind spots for AI:
| Gap | Why It Matters | How to Address |
|---|---|---|
| Training data usage | Whether your data trains their models | Direct questioning, contractual terms |
| Prompt injection | Protection against AI-specific attacks | AI security questionnaire |
| Model security | Protection of the AI model itself | Technical assessment |
| Output monitoring | Detecting harmful or incorrect outputs | AI-specific review |
| Bias and fairness | Whether AI treats users equitably | Ethical AI assessment |
What Certifications Prove vs. Don't Prove
| Certifications Prove | Certifications Don't Prove |
|---|---|
| Formal security program exists | Security is actually effective for your use case |
| Controls are documented | Controls are appropriate for AI risks |
| Regular audits occur | Day-to-day security culture |
| Baseline hygiene is in place | Response to incidents will be adequate |
| Investment in security | AI-specific protections exist |
Industry-Specific Certifications
| Industry | Relevant Certifications | Notes |
|---|---|---|
| Healthcare | HIPAA attestation, HITRUST | Important if processing health data |
| Financial Services | PCI-DSS, MAS compliance | Required for payment/financial data |
| Government | FedRAMP, G-Cloud | For government contracts |
| Education | Student privacy certifications | For handling student data |
Verification Checklist
CERTIFICATION VERIFICATION CHECKLIST
SOC 2
[ ] Report is Type II (not Type I)
[ ] Report is less than 12 months old
[ ] Scope covers services you'll use
[ ] Security and Confidentiality categories included
[ ] No significant exceptions in auditor opinion
[ ] You've reviewed the actual report (not just summary)
ISO 27001
[ ] Certificate is current (not expired)
[ ] Certification body is accredited
[ ] Scope explicitly covers relevant services
[ ] Statement of Applicability reviewed
[ ] Recent surveillance audit completed
General
[ ] Certifications verified with issuing body (not just vendor claim)
[ ] Gaps between certifications and AI needs identified
[ ] Supplementary questions prepared for AI-specific concerns
Common Failure Modes
1. Accepting certifications at face value. Verify with issuing bodies. Fake or expired certifications exist.
2. Ignoring scope limitations. A certification may not cover the services you're evaluating.
3. Treating certifications as comprehensive. They're one input, not the complete picture.
4. Over-relying on Type I SOC 2. Type I only proves controls exist, not that they work.
5. Missing AI-specific gaps. Traditional certifications don't address AI-unique risks.
Metrics to Track
| Metric | Target | Frequency |
|---|---|---|
| Vendors with current certifications | 100% | Quarterly |
| Certification scope verification | 100% | Per vendor |
| AI-specific gap assessments | 100% | Per vendor |
| Certification expiry tracking | Zero lapses | Monthly |
FAQ
Q: Which is better, SOC 2 or ISO 27001? A: They're complementary. SOC 2 provides more detailed audit evidence; ISO 27001 demonstrates a management system. Having both is ideal.
Q: What if a vendor has no certifications? A: Proceed with caution. Conduct deeper due diligence. Consider limiting data exposure until they mature.
Q: How do I verify an ISO 27001 certificate is real? A: Contact the certification body directly. Legitimate certificates have verifiable registration numbers.
Q: Are certifications required by PDPA? A: Not explicitly, but they demonstrate "reasonable security" as required by data protection law.
Q: What about vendor self-certifications? A: Self-certifications (like Privacy Shield declarations) have limited value compared to independent audits.
Next Steps
Certifications are one component of vendor evaluation:
- AI Vendor Security Assessment: A Complete Due Diligence Checklist
- 50 Security Questions to Ask Your AI Vendor (With Red Flag Answers)
- AI Vendor Evaluation Framework: How to Choose the Right Partner
Book an AI Readiness Audit
Need help evaluating AI vendor certifications and security? Our AI Readiness Audit includes comprehensive vendor assessment.
References
- AICPA. SOC 2 Reporting Framework and Trust Services Criteria.
- ISO/IEC 27001:2022. Information Security Management Systems.
- ISO/IEC 27701:2019. Privacy Information Management.
- ISO/IEC 42001:2023. Artificial Intelligence Management System.
- Cloud Security Alliance. STAR Program Overview.
Frequently Asked Questions
SOC 2 Type II indicates the vendor's security controls have been tested over time (typically 6-12 months) and found to be operating effectively. It covers security, availability, processing integrity, confidentiality, and privacy.
ISO 27001 demonstrates a comprehensive information security management system but doesn't address AI-specific risks. You should still evaluate AI security practices separately, including model security and data handling.
Yes, always request the full audit reports rather than just accepting certification claims. The reports detail the scope of assessment, any exceptions noted, and whether the controls relevant to your use case were actually tested.
References
- AICPA. SOC 2 Reporting Framework and Trust Services Criteria.. AICPA SOC Reporting Framework and Trust Services Criteria
- ISO/IEC 27001:2022. Information Security Management Systems.. ISO/IEC Information Security Management Systems (2022)
- ISO/IEC 27701:2019. Privacy Information Management.. ISO/IEC Privacy Information Management (2019)
- ISO/IEC 42001:2023. Artificial Intelligence Management System.. ISO/IEC Artificial Intelligence Management System (2023)
- Cloud Security Alliance. STAR Program Overview.. Cloud Security Alliance STAR Program Overview
