CSF framework, and the ISO/IEC 27001:2013 certification process to  expand their understanding through the lens of an internal auditor for a  small and medium-sized business. The student may select to address the  scenario from a federal or private sector perspective, but must be sure  to denote which sector is chosen and apply the appropriate logic to the  steps needed to secure compliance. The  federal and private sector organization is considering ISO/IEC  27001:2013 certification and currently holds a Level 3 strategic  alignment organizational alignment maturity (established policies,  procedures, and SOPs). The organization requires additional work to  obtain an optimized state and you have been asked to lead the effort to  get them there. In a 750- to 1,000-word paper, describe the steps  you would use to help the organization begin to prepare for this  certification. Make sure to address the following: Make  sure to reference academic or NIST official publications (most current  year available via the Internet) or other relevant sources published  within the last 5 years.


The purpose of this paper is to outline the steps that would be taken to prepare a small and medium-sized business in either the federal or private sector for ISO/IEC 27001:2013 certification. ISO/IEC 27001:2013 is an international standard for information security management systems (ISMS), and certification is an important step for organizations looking to demonstrate their commitment to protecting sensitive information.

Step 1: Understanding the ISO/IEC 27001:2013 Standard

The first step in preparing for ISO/IEC 27001:2013 certification is to thoroughly understand the standard itself. This involves reading and studying the ISO/IEC 27001:2013 standard document, which can be obtained from the International Organization for Standardization (ISO) website. The standard provides guidelines and requirements for establishing, implementing, maintaining, and continually improving an ISMS.

Step 2: Conducting a Gap Analysis

After gaining a thorough understanding of the ISO/IEC 27001:2013 standard, the next step is to conduct a gap analysis to identify any areas where the organization currently falls short of the requirements. This can be done by comparing the organization’s current policies, procedures, and practices against the requirements laid out in the standard. The National Institute of Standards and Technology (NIST) provides useful guidelines and resources for performing a gap analysis.

Step 3: Developing a Project Plan

Once the gaps have been identified, a project plan needs to be developed to outline the steps and timeline for achieving ISO/IEC 27001:2013 certification. This plan should include specific actions to address the identified gaps, as well as milestones and deadlines for completion. It should also allocate resources and assign responsibilities to individuals or teams within the organization.

Step 4: Establishing Information Security Policies and Procedures

One of the key requirements of ISO/IEC 27001:2013 is the establishment of information security policies and procedures. These policies and procedures should be based on the organization’s risk assessment and there should be clear guidelines on how they are to be implemented and followed. The policies and procedures should cover areas such as access control, incident response, and risk management.

Step 5: Implementing Security Controls

ISO/IEC 27001:2013 requires the implementation of a range of security controls to protect sensitive information. These controls can include technical measures such as encryption and firewalls, as well as organizational measures such as employee training and awareness programs. The controls should be implemented in a systematic and documented manner, and their effectiveness should be regularly monitored and reviewed.


Preparing for ISO/IEC 27001:2013 certification requires a systematic and well-planned approach. By following the steps outlined in this paper, a small and medium-sized business can begin the journey towards achieving ISO/IEC 27001:2013 certification and demonstrate their commitment to information security. It is important to note that ongoing effort and commitment are required to maintain and improve the level of compliance with the standard after certification has been achieved.

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