What is the primary objective of **RoHS**?

**The primary objective of **RoHS** is to restrict hazardous substances in electrical and electronic equipment (EEE) to protect human health and the environment during waste management and recycling.** Directive 2011/65/EU (RoHS 2), amended by (EU) 2015/863, limits ten substances—lead (Pb), cadmium (Cd), mercury (Hg), hexavalent chromium (Cr(VI)), PBB, PBDE, DEHP, BBP, DBP, DIBP—at 0.1% (1000 ppm) by weight in homogeneous materials (0.01% or 100 ppm for Cd), unless exempted. This facilitates safer recyclability under the parallel WEEE Directive.

Who is legally or professionally required to comply with **RoHS**?

**Manufacturers, importers, distributors, and authorized representatives placing EEE on the EU market must comply with **RoHS**.** Scope covers all EEE with electrical/electronic components (Annex I categories 1-11), unless excluded (e.g., large-scale fixed installations, military equipment per Article 2(4)). Responsibilities include ensuring homogeneous materials meet thresholds, maintaining technical files, and issuing EU Declarations of Conformity (DoC).

Does **RoHS** require an external audit or third-party certification?

**No, **RoHS** does not mandate external audits or third-party certification.** Compliance relies on internal conformity assessment per the New Legislative Framework: manufacturers self-declare via DoC, maintain technical documentation (aligned to EN IEC 63000:2018) for 10 years, and apply CE marking where applicable. Market surveillance by Member States verifies via documentation and testing requests.

How often should an assessment for **RoHS** be performed?

**RoHS assessments must be performed continuously as a dynamic process, with periodic reviews tied to changes and risks.** Initial assessment occurs before market placement; ongoing verification includes supplier change notifications, annual high-risk material screening (e.g., XRF per IEC 62321), and exemption expiry tracking (many 5-7 years). Re-assess upon delegated directive updates or product modifications.

What are the consequences of non-compliance with **RoHS**?

**Non-compliance with **RoHS** triggers decentralized Member State enforcement, including product withdrawal, recalls, sales bans, and administrative fines.** Penalties vary by jurisdiction (no unified EU schedule); examples include fines up to €10 million or 10% turnover, customs seizures, and potential criminal liability for false declarations. Market surveillance targets documentation and substance exceedances.

An **RoHS** be mapped to other international frameworks?

**Yes, **RoHS** maps to frameworks like China RoHS 2, which aligns on core six substances but mandates labeling, E-PUP marking, and hazardous substance tables without EU-style exemptions.** California SB-50 covers subsets (e.g., heavy metals in covered devices). Mapping aids global strategies but requires jurisdiction-specific adaptations for scope, marking, and disclosures.

What is the first step to begin implementing **RoHS**?

**The first step to implement **RoHS** is scoping products against Annex I categories and exclusions while mapping BoMs to homogeneous materials.** Identify EEE scope, assemble detailed bills of materials, collect supplier declarations (e.g., IPC-1752), and conduct risk-based gap analysis per EN IEC 63000 to prioritize high-risk materials for verification.

What is the primary objective of **SOC 2**?

**The primary objective of SOC 2 is to provide independent assurance that a service organization's controls meet the Trust Services Criteria (TSC) for security, availability, processing integrity, confidentiality, and privacy.** Developed by the AICPA, SOC 2 evaluates systems handling customer data, with Security (CC1-CC9) as the mandatory common criteria. Type 2 reports assess design and operating effectiveness over 3-12 months, enabling SaaS providers and TSOs to demonstrate robust risk mitigation to stakeholders.

Who is legally or professionally required to comply with **SOC 2**?

**No organization is legally required to comply with SOC 2, as it is a voluntary AICPA framework, but service organizations processing customer data face professional mandates from enterprise clients.** Targeted at SaaS, cloud, fintech, and data processors of any size, it is demanded in RFPs, MSAs, and VRM programs by Fortune 500 buyers, where 70-80% of deals require Type 2 reports for vendor onboarding.

Does **SOC 2** require an external audit or third-party certification?

**Yes, SOC 2 requires an external audit by an independent AICPA-accredited CPA firm to issue Type 1 or Type 2 attestation reports.** Type 1 verifies control design at a point in time; Type 2 tests operating effectiveness over a period via sampling, walkthroughs, and evidence review, resulting in an auditor's opinion (unqualified preferred) on TSC alignment.

How often should an assessment for **SOC 2** be performed?

**SOC 2 Type 2 assessments should be performed annually to capture a full monitoring period and maintain continuous assurance.** Bridge letters from management extend validity up to 3 months between audits; recertification involves 9 months bridged plus 3 new months of evidence for sustained operating effectiveness.

What are the consequences of non-compliance with **SOC 2**?

**Non-compliance with client-mandated SOC 2 results in deal disqualification, extended sales cycles by 3-6 months, and elevated breach liability exceeding $1M per incident.** Absent Type 2 reports, vendors face exhaustive questionnaires, custom clauses, reputational damage, and investor scrutiny in funding rounds.

An **SOC 2** be mapped to other international frameworks?

**Yes, SOC 2 controls map extensively to frameworks like ISO 27001 (80% overlap), NIST CSF, and others via AICPA spreadsheets.** Common Criteria (CC1-CC9) align with ISO Annex A controls, enabling reuse for multi-compliance without dual audits, particularly for Security, Availability, and Confidentiality.

What is the first step to begin implementing **SOC 2**?

**The first step is a scoping exercise and gap analysis against the Trust Services Criteria, engaging a CPA for readiness assessment.** Define in-scope systems, data flows, and TSC (Security mandatory), inventory assets, and map 50-100 controls, prioritizing quick wins like policies and IAM.

RoHS vs SOC 2 | GRADUM

Standards Comparison

RoHS

Mandatory

2011

EU regulation restricting hazardous substances in EEE

SOC 2

Voluntary

2010

AICPA framework for service organization security controls

Quick Verdict

RoHS mandates hazardous substance limits in electronics for EU market access, while SOC 2 voluntarily attests to secure data handling for service providers. Companies adopt RoHS for legal compliance and SOC 2 to win enterprise trust and accelerate sales.

Hazardous Substances

RoHS

Directive 2011/65/EU (RoHS 2)

Cost

€€€€

Complexity

High

Implementation Time

6-12 months

Key Features

Homogeneous materials limited to 0.1% substance thresholds
Open scope covers all EEE unless explicitly excluded
Time-limited exemptions in Annexes III and IV
Requires technical file and Declaration of Conformity
Tiered verification using IEC 62321 testing methods

Cybersecurity / Trust

SOC 2

System and Organization Controls 2

Cost

€€€€

Complexity

High

Implementation Time

6-12 months

Key Features

Trust Services Criteria with mandatory Security (CC1-CC9)
Type 2 reports test operating effectiveness over 3-12 months
Independent CPA firm audit attestation
Flexible scoping for service organizations and systems
Maps to ISO 27001, GDPR, HIPAA frameworks

Detailed Analysis

A comprehensive look at the specific requirements, scope, and impact of each standard.

RoHS Details

What It Is

RoHS (Directive 2011/65/EU, recast as RoHS 2, amended by 2015/863) is an EU regulation restricting ten hazardous substances in electrical and electronic equipment (EEE). Its primary purpose is protecting health and environment from EEE waste risks, improving recyclability alongside WEEE Directive. It uses a homogeneous material approach with maximum concentration values (MCVs): 0.1% for most, 0.01% for cadmium.

Key Components

**Annex IITen restricted substances (Pb, Hg, Cd, Cr(VI), PBB, PBDE, four phthalates).
**Annexes III/IVTime-limited exemptions for specific uses.
Eleven EEE categories with open scope (all unless excluded).
Compliance via technical documentation, EU Declaration of Conformity (DoC), CE marking; no central certification—self-declaration model.

Why Organizations Use It

Mandated for EU/EEA market access; prevents fines, recalls, bans. Drives supply chain governance, substitution innovation, ESG reporting. Enhances recyclability, stakeholder trust, global competitiveness (e.g., vs China RoHS).

Implementation Overview

Risk-based: scope products, map BoMs to materials, collect supplier declarations, tiered testing (IEC 62321), build technical files (10-year retention). Applies to manufacturers/importers of EEE; high complexity for complex supply chains. EN IEC 63000 guides documentation.

SOC 2 Details

What It Is

SOC 2 (System and Organization Controls 2) is a voluntary audit framework developed by the American Institute of Certified Public Accountants (AICPA). It evaluates service organizations' commitments to security, availability, processing integrity, confidentiality, and privacy of customer data using Trust Services Criteria (TSC). The approach is principles-based and risk-focused, emphasizing control design and operating effectiveness.

Key Components

Five TSCSecurity** (mandatory, CC1-CC9 common criteria), plus optional Availability (A1), Confidentiality (C1), Processing Integrity (PI1), Privacy (P1-P11)
50-100 controls per scope, with redundancy (2-3 per category)
Built on COSO principles and 2017/2022 TSC updates
Type 1 (point-in-time design) or Type 2 (operating effectiveness over 3-12 months) CPA-attested reports

Why Organizations Use It

Accelerates sales by streamlining vendor due diligence (80-90% questionnaire coverage)
Builds trust moat for SaaS/cloud enterprises, unlocking $5K+ ACV deals
Mitigates breach liabilities and operational risks
Market-driven advantage, often contractually required
Enhances resilience and maps to ISO 27001/GDPR/HIPAA

Implementation Overview

Phased: scoping/gap analysis (2-8 weeks), deployment/monitoring (3-6 months), audit (1-2 months)
Targets service orgs (SaaS, fintech); scalable via Vanta/Drata automation
AICPA CPA audits; annual Type 2 renewals with bridge letters (182 words)

Key Differences

Aspect	RoHS	SOC 2
Scope	Hazardous substances in EEE materials	Data security and trust services criteria
Industry	Electronics manufacturers, global	SaaS/cloud service providers, US-centric
Nature	Mandatory EU product regulation	Voluntary AICPA attestation framework
Testing	XRF/ICP-MS on homogeneous materials	CPA audits of operating controls
Penalties	Fines, recalls by Member States	No legal penalties, lost business

Scope

RoHS

Hazardous substances in EEE materials

SOC 2

Data security and trust services criteria

Industry

RoHS

Electronics manufacturers, global

SOC 2

SaaS/cloud service providers, US-centric

Nature

RoHS

Mandatory EU product regulation

SOC 2

Voluntary AICPA attestation framework

Testing

RoHS

XRF/ICP-MS on homogeneous materials

SOC 2

CPA audits of operating controls

Penalties

RoHS

Fines, recalls by Member States

SOC 2

No legal penalties, lost business

Frequently Asked Questions

Common questions about RoHS and SOC 2

RoHS FAQ

SOC 2 FAQ

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RoHS

SOC 2

Quick Verdict

RoHS

Key Features

SOC 2

Key Features

Detailed Analysis

RoHS Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

SOC 2 Details

What It Is

Key Components

Why Organizations Use It

Implementation Overview

Key Differences

Scope

Industry

Nature

Testing

Penalties

Frequently Asked Questions

RoHS FAQ

What is the primary objective of RoHS?

Who is legally or professionally required to comply with RoHS?

Does RoHS require an external audit or third-party certification?

How often should an assessment for RoHS be performed?

What are the consequences of non-compliance with RoHS?

An RoHS be mapped to other international frameworks?

What is the first step to begin implementing RoHS?

SOC 2 FAQ

What is the primary objective of SOC 2?

Who is legally or professionally required to comply with SOC 2?

Does SOC 2 require an external audit or third-party certification?

How often should an assessment for SOC 2 be performed?

What are the consequences of non-compliance with SOC 2?

An SOC 2 be mapped to other international frameworks?

What is the first step to begin implementing SOC 2?

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SOC 2 Trust Services Criteria in Plain English: Side-by-Side Decoder for Security, Availability, and Beyond

CIS Controls v8.1 Metrics That Matter: KPIs, KRIs, and Dashboards for Board-Ready Cyber Reporting

CIS Controls v8.1 for Cloud & Kubernetes: A Practical Implementation Playbook (AWS/Azure/GCP + IaC)

Run Maturity Assessments with GRADUM

Check out these other Gradum.io Standards Comparison Pages

CAA vs ISO 26000

OSHA vs WELL

ISA 95 vs IATF 16949