Pre-engagement represents the first phase of penetration testing where testers and clients establish the scope, rules, and expectations for the security assessment.
Setting Clear Objectives
The success of a penetration test depends on defining specific goals that align with the organization’s security needs.
- Identify critical assets requiring protection
- Define testing boundaries and restrictions
- Establish timeline and deliverables
- Determine notification requirements
- Set emergency contact procedures
Legal Requirements
Written permission must be obtained before starting any testing activities.
- Non-disclosure agreements (NDAs)
- Scope authorization documents
- Rules of engagement (ROE)
- Legal compliance verification
Documentation Requirements
- Statement of Work (SOW): Outlines project scope and deliverables
- Master Service Agreement (MSA): Defines terms and conditions
- Permission to Test: Written authorization from asset owners
Communication Planning
| Contact Type | Purpose |
|---|---|
| Primary Contact | Day-to-day coordination |
| Emergency Contact | Critical issues and escalations |
| Technical Contact | System-specific questions |
Resource Planning
Identify tools, personnel, and time requirements needed for the engagement.
- Testing equipment and software
- Network access requirements
- Team roles and responsibilities
- Time allocation for each phase
Risk Assessment
Evaluate potential impacts of testing activities on production systems.
- System downtime risks
- Data corruption possibilities
- Service interruption scenarios
- Mitigation strategies
Pre-engagement Checklist
- ✓ Signed legal documents
- ✓ Defined scope and objectives
- ✓ Established communication channels
- ✓ Resource allocation plan
- ✓ Risk mitigation strategy
- ✓ Emergency procedures
Contact your legal team or security consultant for specific guidance on pre-engagement requirements for your organization.
Testing Methodology
A clear testing methodology ensures consistent and thorough security assessment across all systems within scope.
- Black box vs. white box approach
- Testing frameworks selection
- Documentation standards
- Evidence collection procedures
Reporting Requirements
Define the structure and content of deliverables before beginning the engagement.
Report Components
- Executive summary
- Technical findings
- Risk ratings
- Remediation recommendations
- Supporting evidence
Success Criteria
Establish measurable criteria to evaluate the effectiveness of the penetration test.
- Coverage metrics
- Finding severity thresholds
- Documentation quality standards
- Client satisfaction measures
Conclusion
Thorough pre-engagement planning is crucial for conducting effective penetration tests. By establishing clear objectives, documentation requirements, communication channels, and success criteria, organizations can ensure their security assessments deliver meaningful results while minimizing operational risks.
- Follow established procedures and checklists
- Maintain clear documentation throughout
- Ensure all stakeholders understand their roles
- Review and update processes regularly
Regular review and updates of pre-engagement processes help maintain testing effectiveness and adapt to evolving security challenges.
FAQs
- What is pre-engagement in penetration testing?
Pre-engagement is the initial phase of penetration testing where rules, scope, terms, and conditions are established between the tester and the client before any testing begins. - What key documents are required during the pre-engagement phase?
Essential documents include Rules of Engagement (RoE), Non-Disclosure Agreement (NDA), Scope of Work (SoW), and formal contracts outlining testing boundaries and liabilities. - What should be defined in the scope of a penetration test?
The scope should define target systems, IP ranges, domains, applications, testing timeframes, excluded systems, and any specific testing restrictions or limitations. - How do you handle emergency situations during penetration testing?
Emergency contacts and escalation procedures should be established during pre-engagement, including 24/7 contact information for both the testing team and client stakeholders. - What are the payment terms typically discussed in pre-engagement?
Payment terms should cover testing costs, payment schedules, additional fees for out-of-scope work, and any penalties for scope changes or delays. - What legal considerations need to be addressed in pre-engagement?
Legal considerations include testing authorization, liability protection, data handling requirements, and compliance with relevant regulations like GDPR or HIPAA. - How is sensitive data handling addressed during pre-engagement?
Pre-engagement should establish protocols for handling sensitive data, including storage, transmission, and destruction procedures for any confidential information encountered during testing. - What are the key deliverables to be defined in pre-engagement?
Key deliverables include technical reports, executive summaries, remediation recommendations, raw testing data, and any specific reporting formats required by the client. - How should testing boundaries be established?
Testing boundaries should specify allowed testing methods, restricted techniques, acceptable hours of testing, and any systems or data that are strictly off-limits. - What communication protocols need to be established?
Communication protocols should define status update frequency, reporting methods, incident notification procedures, and channels for routine and emergency communications.
