Control statement
Conduct penetration testing [Organization-defined: frequency] on [Organization-defined: system(s) or system components].
Discussion
Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is conducted by agents and teams with demonstrable skills and experience that include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Penetration testing is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted internally or externally on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes a pretest analysis based on full knowledge of the system, pretest identification of potential vulnerabilities based on the pretest analysis, and testing designed to determine the exploitability of vulnerabilities. All parties agree to the rules of engagement before commencing penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries. Penetration testing may result in the exposure of information that is protected by laws or regulations, to individuals conducting the testing. Rules of engagement, contracts, or other appropriate mechanisms can be used to communicate expectations for how to protect this information. Risk assessments guide the decisions on the level of independence required for the personnel conducting penetration testing.
Organization-defined parameters
These values must be resolved through the organization’s tailoring and governance process. Bracketed parameter references in the control text identify where a decision is required.
From control text to operational evidence
Use Penetration Testing as a testable risk decision. Translate the official statement into accountable people, repeatable processes, configured technology, and evidence that demonstrates the outcome over time. In this family, pay particular attention to assessment independence, authorization evidence, remediation, and continuous monitoring.
Implementation workflow
- Define the control boundary, responsible owner, inherited portions, and systems or processes in scope.
- Resolve each organization-defined parameter before declaring the control implemented.
- Document how the implementation satisfies every clause of the official control statement.
- Collect evidence as a normal byproduct of operation rather than only before an assessment.
- Review exceptions, changes, and monitoring results on a risk-based cadence.
Evidence examples
- assessment plans and reports
- plans of action and milestones
- authorization decisions and risk acceptances
- continuous monitoring results
Common failure patterns
- control status based only on owner assertion
- findings closed without evidence
- assessment scope that misses inherited services
- monitoring data disconnected from authorization decisions
Questions practitioners should ask
- What risk decision is this control intended to support in this system?
- Which parts are implemented locally, inherited, shared, or not applicable—and what evidence supports that decision?
- Do the documented narrative, deployed configuration, operating process, and collected evidence agree?
- What event or threshold requires the implementation to be reviewed or changed?
Assessment objectives and methods
Show the assessment objective
penetration testing is conducted [Organization-defined: frequency] on [Organization-defined: system(s) or system components].
Examine
- Assessment, authorization, and monitoring policy
- procedures addressing penetration testing
- assessment plan
- penetration test report
- assessment report
- assessment evidence
- system security plan
- privacy plan
- other relevant documents or records
Interview
- Organizational personnel with control assessment responsibilities
- organizational personnel with information security and privacy responsibilities
- system/network administrators
Test
- Mechanisms supporting penetration testing
Related controls
These relationships come from the official OSCAL catalog. They indicate useful dependencies or context, not automatic inheritance or equivalence.
Control enhancements
Enhancements add specificity, strength, or scope to the base control. Baseline badges show explicit selections in the official SP 800-53B OSCAL profiles.
CA-8(1) — Independent Penetration Testing Agent or Team
Employ an independent penetration testing agent or team to perform penetration testing on the system or system components.
Official discussion
Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. [CA-2(1)](#ca-2.1) provides additional information on independent assessments that can be applied to penetration testing.
Assessment objectives and methods
an independent penetration testing agent or team is employed to perform penetration testing on the system or system components.
Examine
- Assessment, authorization, and monitoring policy
- procedures addressing penetration testing
- assessment plan
- penetration test report
- assessment report
- security assessment evidence
- system security plan
- privacy plan
- other relevant documents or records
Interview
- Organizational personnel with assessment responsibilities
- organizational personnel with information security and privacy responsibilities
Related controls
CA-8(2) — Red Team Exercises
Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: [Organization-defined: red team exercises].
Official discussion
Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise mission and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness.
Organization-defined parameters (1)
Assessment objectives and methods
[Organization-defined: red team exercises] are employed to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement.
Examine
- Assessment, authorization, and monitoring policy
- procedures addressing penetration testing
- procedures addressing red team exercises
- assessment plan
- results of red team exercises
- penetration test report
- assessment report
- rules of engagement
- assessment evidence
- system security plan
- privacy plan
- other relevant documents or records
Interview
- Organizational personnel with assessment responsibilities
- organizational personnel with information security and privacy responsibilities
- system/network administrators
Test
- Mechanisms supporting the employment of red team exercises
CA-8(3) — Facility Penetration Testing
Employ a penetration testing process that includes [Organization-defined: frequency] [Organization-defined: ca-08.03_odp.02] attempts to bypass or circumvent controls associated with physical access points to the facility.
Official discussion
Penetration testing of physical access points can provide information on critical vulnerabilities in the operating environments of organizational systems. Such information can be used to correct weaknesses or deficiencies in physical controls that are necessary to protect organizational systems.
Organization-defined parameters (2)
Assessment objectives and methods
the penetration testing process includes [Organization-defined: frequency] [Organization-defined: ca-08.03_odp.02] attempts to bypass or circumvent controls associated with physical access points to facility.
Examine
- Assessment, authorization, and monitoring policy
- procedures addressing penetration testing
- procedures addressing red team exercises
- assessment plan
- results of red team exercises
- penetration test report
- assessment report
- rules of engagement
- assessment evidence
- system security plan
- privacy plan
- other relevant documents or records
Interview
- Organizational personnel with assessment responsibilities
- organizational personnel with information security and privacy responsibilities
- system/network administrators
Test
- Automated mechanisms supporting the employment of red team exercises
Related controls
Authoritative sources
Bare Metal Cyber is an independent educational publisher and is not affiliated with or endorsed by NIST. Official control requirements and interpretations remain with NIST and the responsible authorizing organization.