CA-8: Penetration Testing
Control Family:
PF v1.0 References:
Threats Addressed:
Baselines:
- Low
N/A
- Moderate
N/A
- High
- CA-8
- (1)
- Privacy
N/A
- OT Low (SP 800-82r3)
N/A
- OT Moderate (SP 800-82r3)
N/A
- OT High (SP 800-82r3)
- CA-8
Previous Version:
- NIST Special Publication 800-53 Revision 4:
- CA-8: Penetration Testing
Incorporates the following control from the previous version of the control set: PE-3(6): Facility Penetration Testing.
Control Statement
Conduct penetration testing [Assignment: organization-defined frequency] on [Assignment: organization-defined system(s) or system components].
Supplemental Guidance
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.
OT Discussion
Penetration testing is used with care on OT networks to ensure that OT functions are not adversely impacted by the testing process. In general, OT systems are highly sensitive to timing constraints and have limited resources. Example compensating controls include employing a replicated, virtualized, or simulated system to conduct penetration testing. Production OT may need to be taken offline before testing can be conducted. If OT systems are taken offline for testing, tests are scheduled to occur during planned OT outages whenever possible. If penetration testing is performed on non-OT networks, extra care is taken to ensure that tests do not propagate into the OT network. Rationale for removing CA-8 (1) from HIGH baseline: Specific expertise is necessary to conduct effective penetration testing on OT systems, and it may not be feasible to identify independent personnel with the appropriate skillset or knowledge to perform penetration testing on an OT environment. While an independent penetration test agent or team is recommended, it may not be feasible for all high-impact OT systems.
Control Enhancements
CA-8(1): Independent Penetration Testing Agent or Team
Baseline(s):
- High
Employ an independent penetration testing agent or team to perform penetration testing on the system or system components.
CA-8(2): Red Team Exercises
Baseline(s):
Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: [Assignment: organization-defined red team exercises].
CA-8(3): Facility Penetration Testing
Baseline(s):
Employ a penetration testing process that includes [Assignment: organization-defined frequency] [Assignment (one or more): announced, unannounced] attempts to bypass or circumvent controls associated with physical access points to the facility.