Scoping Document Template

πŸ“‹ What is Scoping Document?

Scoping Document is a formal document that clearly defines the boundaries, objectives, and parameters of a penetration testing engagement. It serves as the foundation for the entire project and ensures all parties have a shared understanding of what will be tested and how.

Purpose of Scoping Document

  • Clear Boundaries: Define exactly what will and won’t be tested
  • Objective Setting: Establish clear testing objectives and success criteria
  • Resource Planning: Determine required resources, timeline, and budget
  • Risk Management: Identify and address potential risks and challenges
  • Expectation Alignment: Ensure all stakeholders understand the project scope
  • Legal Protection: Provide legal framework for the engagement

Key Components

  • Project Overview: High-level project description and objectives
  • Scope Definition: Detailed scope including in-scope and out-of-scope items
  • Testing Methodology: Approach and techniques to be used
  • Deliverables: Specific outputs and reports to be provided
  • Timeline: Project schedule and milestones
  • Resources: Required personnel, tools, and access
  • Constraints: Limitations and restrictions
  • Success Criteria: How success will be measured

When to Use

  • After completing the scoping questionnaire
  • Before starting any penetration testing work
  • When formalizing project agreements
  • For complex or multi-phase engagements
  • When working with multiple stakeholders

πŸ“„ Scoping Document Template

PENETRATION TESTING SCOPING DOCUMENT

Document Information:

  • Document Version: [VERSION]
  • Date: [DATE]
  • Prepared By: [CONSULTANT NAME]
  • Client: [CLIENT COMPANY NAME]
  • Project: [PROJECT NAME]

1. EXECUTIVE SUMMARY

1.1 Project Overview

This document defines the scope of the penetration testing engagement for [CLIENT COMPANY NAME]. The engagement will assess the security posture of [TARGET SYSTEMS] and provide recommendations for improving the overall security posture.

1.2 Objectives

The primary objectives of this engagement are:

  • [OBJECTIVE 1]
  • [OBJECTIVE 2]
  • [OBJECTIVE 3]
  • [OBJECTIVE 4]
  • [OBJECTIVE 5]

1.3 Expected Outcomes

Upon completion of this engagement, the client will receive:

  • Comprehensive security assessment report
  • Detailed vulnerability analysis
  • Risk-based recommendations
  • Remediation roadmap
  • Executive summary for management

2. PROJECT SCOPE

2.1 In-Scope Systems

2.1.1 Network Infrastructure

  • Network Segments: [SEGMENT LIST]
  • Subnets: [SUBNET LIST]
  • Network Devices: [DEVICE LIST]
  • Firewall Rules: [RULE ANALYSIS]
  • VPN Configurations: [VPN ANALYSIS]

2.1.2 Web Applications

  • Application Name: [APP NAME]
  • URL: [URL]
  • Technology Stack: [TECH STACK]
  • Authentication: [AUTH METHOD]
  • Database: [DATABASE TYPE]
  • Third-Party Integrations: [INTEGRATIONS]

2.1.3 Mobile Applications

  • Application Name: [APP NAME]
  • Platform: [IOS/ANDROID]
  • Version: [VERSION]
  • API Endpoints: [ENDPOINTS]
  • Authentication: [AUTH METHOD]

2.1.4 Infrastructure Systems

  • Operating Systems: [OS LIST]
  • Server Count: [NUMBER]
  • Database Systems: [DATABASE LIST]
  • Cloud Services: [CLOUD SERVICES]
  • Container Platforms: [CONTAINER PLATFORMS]

2.2 Out-of-Scope Systems

2.2.1 Excluded Systems

  • System Name: [SYSTEM NAME]
  • Reason for Exclusion: [REASON]
  • Alternative Testing: [ALTERNATIVE]

2.2.2 Excluded Testing

  • Testing Type: [TESTING TYPE]
  • Reason for Exclusion: [REASON]
  • Risk Assessment: [RISK ASSESSMENT]

2.3 Scope Boundaries

  • Geographic Boundaries: [GEOGRAPHIC LIMITS]
  • Time Boundaries: [TIME LIMITS]
  • Network Boundaries: [NETWORK LIMITS]
  • Data Boundaries: [DATA LIMITS]

3. TESTING METHODOLOGY

3.1 Testing Approach

The testing will follow a systematic approach based on industry standards:

  • OWASP Testing Guide: Web application testing methodology
  • NIST SP 800-115: Technical guide for information security testing
  • PTES: Penetration Testing Execution Standard
  • OSSTMM: Open Source Security Testing Methodology Manual

3.2 Testing Phases

3.2.1 Reconnaissance

  • Passive Information Gathering: [TECHNIQUES]
  • Active Information Gathering: [TECHNIQUES]
  • Social Engineering: [TECHNIQUES]
  • Physical Security: [TECHNIQUES]

3.2.2 Vulnerability Assessment

  • Automated Scanning: [TOOLS AND TECHNIQUES]
  • Manual Testing: [TECHNIQUES]
  • Configuration Review: [TECHNIQUES]
  • Code Review: [TECHNIQUES]

3.2.3 Exploitation

  • Vulnerability Exploitation: [TECHNIQUES]
  • Privilege Escalation: [TECHNIQUES]
  • Lateral Movement: [TECHNIQUES]
  • Data Exfiltration: [TECHNIQUES]

3.2.4 Post-Exploitation

  • Persistence: [TECHNIQUES]
  • Data Collection: [TECHNIQUES]
  • Impact Assessment: [TECHNIQUES]
  • Cleanup: [TECHNIQUES]

3.3 Testing Tools

  • Network Scanners: [TOOL LIST]
  • Vulnerability Scanners: [TOOL LIST]
  • Web Application Scanners: [TOOL LIST]
  • Exploitation Frameworks: [TOOL LIST]
  • Custom Scripts: [SCRIPT LIST]

4. DELIVERABLES

4.1 Executive Summary

  • Target Audience: [AUDIENCE]
  • Content: [CONTENT DESCRIPTION]
  • Format: [FORMAT]
  • Timeline: [TIMELINE]

4.2 Technical Report

  • Target Audience: [AUDIENCE]
  • Content: [CONTENT DESCRIPTION]
  • Format: [FORMAT]
  • Timeline: [TIMELINE]

4.3 Remediation Guide

  • Target Audience: [AUDIENCE]
  • Content: [CONTENT DESCRIPTION]
  • Format: [FORMAT]
  • Timeline: [TIMELINE]

4.4 Raw Data

  • Target Audience: [AUDIENCE]
  • Content: [CONTENT DESCRIPTION]
  • Format: [FORMAT]
  • Timeline: [TIMELINE]

4.5 Presentation

  • Target Audience: [AUDIENCE]
  • Content: [CONTENT DESCRIPTION]
  • Format: [FORMAT]
  • Timeline: [TIMELINE]

5. PROJECT TIMELINE

5.1 Project Phases

5.1.1 Planning Phase

  • Duration: [DURATION]
  • Activities: [ACTIVITIES]
  • Deliverables: [DELIVERABLES]
  • Dependencies: [DEPENDENCIES]

5.1.2 Testing Phase

  • Duration: [DURATION]
  • Activities: [ACTIVITIES]
  • Deliverables: [DELIVERABLES]
  • Dependencies: [DEPENDENCIES]

5.1.3 Reporting Phase

  • Duration: [DURATION]
  • Activities: [ACTIVITIES]
  • Deliverables: [DELIVERABLES]
  • Dependencies: [DEPENDENCIES]

5.2 Milestones

  • Milestone 1: [MILESTONE DESCRIPTION] - [DATE]
  • Milestone 2: [MILESTONE DESCRIPTION] - [DATE]
  • Milestone 3: [MILESTONE DESCRIPTION] - [DATE]
  • Milestone 4: [MILESTONE DESCRIPTION] - [DATE]
  • Final Delivery: [DELIVERY DESCRIPTION] - [DATE]

5.3 Critical Path

  • Critical Path Items: [ITEMS]
  • Dependencies: [DEPENDENCIES]
  • Risk Factors: [RISK FACTORS]
  • Mitigation Strategies: [STRATEGIES]

6. RESOURCES AND REQUIREMENTS

6.1 Testing Team

  • Team Lead: [NAME AND CREDENTIALS]
  • Senior Testers: [NAMES AND CREDENTIALS]
  • Junior Testers: [NAMES AND CREDENTIALS]
  • Specialists: [NAMES AND CREDENTIALS]

6.2 Client Resources

  • Technical Contacts: [CONTACTS]
  • Business Contacts: [CONTACTS]
  • Escalation Contacts: [CONTACTS]
  • Emergency Contacts: [CONTACTS]

6.3 Access Requirements

  • Network Access: [ACCESS REQUIREMENTS]
  • System Access: [ACCESS REQUIREMENTS]
  • Application Access: [ACCESS REQUIREMENTS]
  • Data Access: [ACCESS REQUIREMENTS]

6.4 Infrastructure Requirements

  • Testing Environment: [ENVIRONMENT REQUIREMENTS]
  • Network Connectivity: [CONNECTIVITY REQUIREMENTS]
  • Hardware Requirements: [HARDWARE REQUIREMENTS]
  • Software Requirements: [SOFTWARE REQUIREMENTS]

7. CONSTRAINTS AND LIMITATIONS

7.1 Technical Constraints

  • System Availability: [CONSTRAINTS]
  • Network Restrictions: [CONSTRAINTS]
  • Data Access Limitations: [CONSTRAINTS]
  • Tool Limitations: [CONSTRAINTS]

7.2 Business Constraints

  • Time Restrictions: [CONSTRAINTS]
  • Budget Limitations: [CONSTRAINTS]
  • Resource Availability: [CONSTRAINTS]
  • Stakeholder Availability: [CONSTRAINTS]
  • Regulatory Requirements: [REQUIREMENTS]
  • Data Protection Laws: [LAWS]
  • Industry Standards: [STANDARDS]
  • Company Policies: [POLICIES]

8. RISK ASSESSMENT

8.1 Technical Risks

  • Risk: [RISK DESCRIPTION]
  • Impact: [IMPACT LEVEL]
  • Probability: [PROBABILITY LEVEL]
  • Mitigation: [MITIGATION STRATEGY]

8.2 Business Risks

  • Risk: [RISK DESCRIPTION]
  • Impact: [IMPACT LEVEL]
  • Probability: [PROBABILITY LEVEL]
  • Mitigation: [MITIGATION STRATEGY]

8.3 Project Risks

  • Risk: [RISK DESCRIPTION]
  • Impact: [IMPACT LEVEL]
  • Probability: [PROBABILITY LEVEL]
  • Mitigation: [MITIGATION STRATEGY]

9. SUCCESS CRITERIA

9.1 Technical Success Criteria

  • Vulnerability Discovery: [CRITERIA]
  • System Coverage: [CRITERIA]
  • Testing Depth: [CRITERIA]
  • Report Quality: [CRITERIA]

9.2 Business Success Criteria

  • Stakeholder Satisfaction: [CRITERIA]
  • Timeline Adherence: [CRITERIA]
  • Budget Compliance: [CRITERIA]
  • Deliverable Quality: [CRITERIA]

9.3 Compliance Success Criteria

  • Regulatory Compliance: [CRITERIA]
  • Industry Standards: [CRITERIA]
  • Best Practices: [CRITERIA]
  • Documentation: [CRITERIA]

10. COMMUNICATION PLAN

10.1 Communication Channels

  • Primary Communication: [CHANNEL]
  • Secondary Communication: [CHANNEL]
  • Emergency Communication: [CHANNEL]
  • Status Updates: [CHANNEL]

10.2 Reporting Schedule

  • Daily Updates: [SCHEDULE]
  • Weekly Reports: [SCHEDULE]
  • Milestone Reports: [SCHEDULE]
  • Final Report: [SCHEDULE]

10.3 Stakeholder Communication

  • Technical Team: [COMMUNICATION PLAN]
  • Management Team: [COMMUNICATION PLAN]
  • Compliance Team: [COMMUNICATION PLAN]
  • External Stakeholders: [COMMUNICATION PLAN]

11. QUALITY ASSURANCE

11.1 Review Process

  • Technical Review: [PROCESS]
  • Peer Review: [PROCESS]
  • Management Review: [PROCESS]
  • Client Review: [PROCESS]

11.2 Quality Standards

  • Technical Standards: [STANDARDS]
  • Documentation Standards: [STANDARDS]
  • Reporting Standards: [STANDARDS]
  • Delivery Standards: [STANDARDS]

11.3 Testing and Validation

  • Deliverable Testing: [PROCESS]
  • Client Validation: [PROCESS]
  • Feedback Incorporation: [PROCESS]
  • Final Approval: [PROCESS]

12. PROJECT GOVERNANCE

12.1 Project Structure

  • Project Sponsor: [ROLE AND RESPONSIBILITIES]
  • Project Manager: [ROLE AND RESPONSIBILITIES]
  • Technical Lead: [ROLE AND RESPONSIBILITIES]
  • Client Representative: [ROLE AND RESPONSIBILITIES]

12.2 Decision Making

  • Decision Authority: [AUTHORITY LEVELS]
  • Escalation Process: [PROCESS]
  • Change Management: [PROCESS]
  • Issue Resolution: [PROCESS]

12.3 Project Monitoring

  • Progress Tracking: [METHODS]
  • Risk Monitoring: [METHODS]
  • Quality Monitoring: [METHODS]
  • Performance Monitoring: [METHODS]

13. CHANGE MANAGEMENT

13.1 Change Process

  • Change Request: [PROCESS]
  • Change Evaluation: [PROCESS]
  • Change Approval: [PROCESS]
  • Change Implementation: [PROCESS]

13.2 Change Categories

  • Scope Changes: [CATEGORY DESCRIPTION]
  • Timeline Changes: [CATEGORY DESCRIPTION]
  • Resource Changes: [CATEGORY DESCRIPTION]
  • Methodology Changes: [CATEGORY DESCRIPTION]

13.3 Impact Assessment

  • Technical Impact: [ASSESSMENT PROCESS]
  • Business Impact: [ASSESSMENT PROCESS]
  • Resource Impact: [ASSESSMENT PROCESS]
  • Timeline Impact: [ASSESSMENT PROCESS]

14. ACCEPTANCE CRITERIA

14.1 Deliverable Acceptance

  • Technical Report: [CRITERIA]
  • Executive Summary: [CRITERIA]
  • Remediation Guide: [CRITERIA]
  • Presentation: [CRITERIA]

14.2 Quality Acceptance

  • Content Quality: [CRITERIA]
  • Format Quality: [CRITERIA]
  • Timeliness: [CRITERIA]
  • Completeness: [CRITERIA]

14.3 Client Acceptance

  • Stakeholder Approval: [CRITERIA]
  • Technical Validation: [CRITERIA]
  • Business Validation: [CRITERIA]
  • Final Sign-off: [CRITERIA]

15. SIGN-OFF AND APPROVAL

15.1 Client Approval

Client Representative: Name: [NAME] Title: [TITLE] Signature: [SIGNATURE] Date: [DATE]

Technical Lead: Name: [NAME] Title: [TITLE] Signature: [SIGNATURE] Date: [DATE]

15.2 Testing Team Approval

Project Manager: Name: [NAME] Title: [TITLE] Signature: [SIGNATURE] Date: [DATE]

Technical Lead: Name: [NAME] Title: [TITLE] Signature: [SIGNATURE] Date: [DATE]

πŸ“ Template Usage Instructions

Step 1: Information Compilation

  • Gather information from scoping questionnaire
  • Review technical documentation
  • Consult with stakeholders
  • Identify constraints and limitations

Step 2: Scope Definition

  • Define clear boundaries
  • Identify in-scope and out-of-scope items
  • Establish testing objectives
  • Set success criteria

Step 3: Methodology Selection

  • Choose appropriate testing methodology
  • Select testing tools and techniques
  • Define testing phases
  • Plan testing approach

Step 4: Resource Planning

  • Identify required resources
  • Plan project timeline
  • Allocate team members
  • Define access requirements

Step 5: Risk Assessment

  • Identify potential risks
  • Assess risk impact and probability
  • Develop mitigation strategies
  • Plan contingency measures

Step 6: Documentation

  • Document all decisions
  • Create formal scope document
  • Obtain stakeholder approval
  • Establish change management process

⚠️ Important Considerations

Scope Clarity

  • Clear Boundaries: Ensure scope boundaries are clearly defined
  • Specific Details: Include specific, actionable information
  • Avoid Ambiguity: Eliminate ambiguous or unclear statements
  • Document Assumptions: Clearly document any assumptions

Stakeholder Alignment

  • Consensus Building: Ensure all stakeholders agree on scope
  • Expectation Management: Align expectations with reality
  • Communication: Maintain clear communication throughout
  • Documentation: Document all decisions and changes

Risk Management

  • Risk Identification: Identify all potential risks
  • Impact Assessment: Assess impact of each risk
  • Mitigation Planning: Develop mitigation strategies
  • Monitoring: Monitor risks throughout project

πŸ”§ Customization Options

Industry-Specific Additions

  • Financial Services: Add financial data protection requirements
  • Healthcare: Include HIPAA compliance provisions
  • Government: Add security clearance requirements
  • Education: Include FERPA compliance provisions

Technology-Specific Sections

  • Cloud Services: Add cloud-specific considerations
  • Mobile Applications: Include mobile security considerations
  • IoT Devices: Add IoT security considerations
  • AI/ML Systems: Include AI security considerations

Compliance-Specific Requirements

  • PCI DSS: Add payment card industry requirements
  • GDPR: Include European data protection requirements
  • SOX: Add financial reporting requirements
  • HIPAA: Include healthcare privacy requirements

πŸ“Š Checklist for Scoping Document

Pre-Documentation Checklist

  • Scoping questionnaire completed
  • Technical information gathered
  • Stakeholder requirements identified
  • Constraints and limitations documented
  • Resources and timeline planned

Documentation Checklist

  • Executive summary written
  • Scope clearly defined
  • Methodology selected
  • Deliverables specified
  • Timeline established
  • Resources allocated
  • Risks assessed
  • Success criteria defined

Review Checklist

  • Technical review completed
  • Business review completed
  • Legal review completed
  • Stakeholder approval obtained
  • Final sign-off completed

This template is provided for informational purposes only and should be customized based on the specific requirements of each engagement. The scope document should be reviewed and updated regularly to ensure it remains relevant and accurate.