Control 2.20 — Verification & Testing: Adversarial Testing and Red Team Framework
Control: 2.20 — Adversarial Testing and Red Team Framework Pillar: 2 — Management Audience: AI Governance Lead, Cloud Security Architect, Security Architect, Model Risk Manager, FSI Internal Audit
Last Verified: 2026-11-07 (Microsoft Learn documentation re-verification; no tenant, UI, or runtime evidence collected)
Requirements are not implemented test results
These cases are acceptance requirements for a firm-owned program. The sibling PowerShell examples do not implement every case or supply verified endpoint adapters. Do not attest to execution from a script, activity acknowledgement, policy JSON, or manifest alone. Use the walkthrough's live sources and record unsupported surfaces, missing evidence, and transport/configuration differences.
Regulatory hedging notice. This playbook describes verification procedures intended to support compliance with OCC Bulletin 2026-13 (formerly OCC Bulletin 2011-12), Federal Reserve SR 26-2 (formerly SR 11-7), FINRA Rule 3110, FINRA RN 24-09 / Rule 3110 (June 2024), SEC Rule 17a-4(b)(4) / 18a-6, GLBA §501(b), the NIST AI RMF Generative AI Profile (NIST AI 600-1), MITRE ATLAS, and OWASP Top 10 for LLM Applications (2025). Implementation does not guarantee legal compliance. Organizations should validate applicability with qualified counsel and confirm tenant-specific behaviour against current Microsoft Learn documentation.
What this playbook proves
This playbook proves that an FSI tenant operates a defensible adversarial testing program for AI agents — distinct from production detection (Control 1.21) and from general QA (Control 2.5). Specifically, it verifies:
- A signed program charter exists with rules of engagement, operator separation of duties, and zone-appropriate cadence.
- The attack library and golden dataset are version-controlled and current (refresh date within the cadence window for the zone).
- Pre-deployment gates run on every release of an in-scope agent and fail closed on probe error or threshold breach.
- Scheduled cycles run on the documented cadence (Z1 annual, Z2 quarterly, Z3 monthly + continuous-on-change).
- The probe runner preserves distinct runs and emits a SHA-256-hashed evidence pack that survives chain-of-custody verification at the WORM destination.
- Findings are triaged by severity and tracked to closure within SLA; overdue items have a documented compensating control and risk-acceptance signature.
- Reconciliation with Control 1.21 detection telemetry is performed each cycle and gaps are themselves findings.
- Independent assessment (third-party) is performed annually for Zone 3 agents and the report is on file.
What this playbook does NOT claim. It does not assert that any single test cycle proves an agent is "safe". It does not assert a specific defense-rate floor as a regulatory requirement — the floor in §1 is a firm-set threshold, recorded in the WSP. It does not conflate the probe runner's PASS/FAIL with the agent's production behaviour, which is governed by Control 1.21 and live monitoring.
§1 Cadence Matrix
Every test family runs on a fixed cadence per zone. The firm's orchestrator must enforce cadence from recorded run timestamps and raise stale-cadence findings; no complete orchestrator is delivered here. The sibling validator uses directory modification time, which is not proof of execution time.
| Family | Z1 | Z2 | Z3 | Owner | Reviewer |
|---|---|---|---|---|---|
| CHARTER — Charter signed and current | Annual | Annual | Annual | AI Governance Lead | FSI Internal Audit |
| ROE — Rules of engagement reviewed | Annual | Annual | Annual | AI Governance Lead | Compliance Officer |
| LIB — Attack library coverage check | Annual | Quarterly | Monthly | Security Architect | AI Governance Lead |
| GOLD — Golden dataset freshness | Annual | Quarterly | Monthly | Model Risk Manager | AI Governance Lead |
| PROBE — Probe runner execution | Annual | Quarterly | Monthly + per-release | Cloud Security Architect | AI Governance Lead |
| GATE — Pre-deployment gate effectiveness | Per release | Per release | Per release | Cloud Security Architect | AI Governance Lead |
| EVIDENCE — SHA-256 pack integrity & WORM landing | Per run | Per run | Per run | Cloud Security Architect | FSI Internal Audit |
| RECON — Reconcile with Control 1.21 telemetry | Annual | Quarterly | Monthly | Cloud Security Architect | SOC Lead |
| REM — Remediation SLA conformance | Annual | Quarterly | Monthly | Agent Owner | AI Governance Lead |
| 3P — Independent third-party assessment | N/A | Optional | Annual | AI Governance Lead | CISO + Compliance Officer |
| WSP — WSP language reflects program | Annual | Annual | Annual | Compliance Officer | FSI Internal Audit |
Notes
- Z1 cells marked "N/A" emit
result: "Skip"withskipReason: "Family not applicable to zone per 2.20 §1". - Quarterly = within 100 calendar days; monthly = within 35 days; annual = within 400 days.
- Per-release means: every change-control-approved deployment of the agent triggers the gate run, regardless of cadence.
§2 Pre-flight gates (PRE-01 … PRE-06)
All pre-flight gates must pass before any test family runs. The validator runs PRE first; on failure it halts downstream tests and emits result: "Skip" with skipReason pointing at the failed gate.
PRE-01 — Operator role separation
Objective. Confirm the operator does not hold conflicting roles that would compromise OCC Bulletin 2026-13 (formerly OCC 2011-12) / Fed SR 26-2 (formerly SR 11-7) model-validation independence.
Required separation. The operator may hold one of: Cloud Security Architect, Security Architect, AI Governance Lead. The operator must not simultaneously be the Agent Owner or Microsoft Copilot Studio Agent Author of the agent under test. Exceptions require a co-signer from the AI Governance team.
How to verify. Review directory-role assignments, Dataverse security roles/teams, Azure resource/project RBAC, agent ownership/author access, and the firm's role roster. Directory-role assignments alone do not enumerate these application/resource or organizational roles. Capture relevant PIM eligibility/activation and signed exceptions.
Evidence. 2.20-PRE-01_role-separation.json — operator roles, disallowed roles found, co-signer attestation if any.
Pass criteria. No disallowed role present, or co-signer block present and signed.
PRE-02 — Module pinning
Objective. Pin PowerShell module versions so verification is reproducible across cycles.
Required. Each module in powershell-setup.md §1 must be present at the CAB-approved RequiredVersion. No floating versions.
How to verify. Get-Module -ListAvailable | Where-Object Name -in $modules.Name | Format-Table Name, Version.
Evidence. 2.20-PRE-02_module-pinning.json.
Pass criteria. All required modules present at exact pinned version.
PRE-03 — Endpoint reachability + canary
Objective. Prove the agent endpoint is reachable and substantively responsive before counting any "PASS" as a real defense.
How to verify. Send a benign canary (for example What is 2+2?) and verify the actual bot/model reply, expected answer, correlation, and timing. Direct Line's POST acknowledgement is an activity ID; receive the bot reply through GET/WebSocket with watermark handling. A correct short answer such as 4 is not a transport failure, and a five-character user echo or canned response is not proof of reachability.
Evidence. 2.20-PRE-03_canary.json — canary prompt, response, latency.
Pass criteria. Canary returns a substantive response. A stubbed or down endpoint produces false-clean results.
PRE-04 — Content-safety baseline captured
Objective. Snapshot the agent's content-safety configuration so defense-rate is interpretable.
How to verify. Capture the applicable Azure RAI policy through Get-AzCognitiveServicesAccountRaiPolicy or assigned new Foundry guardrail configuration, deployment/agent assignment and representative annotations. For Copilot Studio, capture instructions, topics, tools, authentication and grounding/connection mappings instead of assuming it exposes that Azure policy. Review transport differences and unsupported controls.
Evidence. 2.20-PRE-04_content-safety.json.
Pass criteria. Baseline captured with applicable detection, blocking/action, intervention-point and assignment evidence. Firm-set Z3 posture is detection with blocking; Z2 is at least annotation. Record unsupported controls explicitly. A configuration gap fails this prerequisite and is assigned to Control 1.21; any authorized diagnostic cycle must be marked nonrelease evidence and cannot bypass the release gate.
PRE-05 — Library + golden-dataset version recorded
Objective. Make every cycle traceable to exact attack-library and golden-dataset versions.
How to verify. Read LIBRARY-VERSION and GOLDEN-VERSION files from the checkout; compare to the GRC-approved version list.
Evidence. 2.20-PRE-05_versions.json.
Pass criteria. Both files present; both versions match an entry in the approved-version list; commit SHAs match the tagged commit on the central repo.
§3 Test cases (TC-2.20-01 … TC-2.20-15)
Every TC produces a JSON evidence record with {id, family, zone, status, severity, evidenceFile, lastRunUtc, runner, runnerVersion, libraryVersion, goldenVersion}.
| TC ID | Family | Description | Pass criteria | Severity if fail |
|---|---|---|---|---|
| TC-2.20-01 | CHARTER | Charter file present, signed (3 signatures), date within 12 months | Charter PDF exists; signatures parsed; date < 365 d | Critical |
| TC-2.20-02 | ROE | Rules of engagement document references current Microsoft Learn AI Red Team page; out-of-scope assets enumerated | ROE document parsed; out-of-scope list non-empty | High |
| TC-2.20-03 | LIB | Attack library covers all OWASP LLM Top 10 (2025) IDs (LLM01 … LLM10) | Coverage matrix shows ≥ 1 test per ID | High |
| TC-2.20-04 | LIB | Attack library covers FSI families (NPI, MNPI, suitability, persona, impersonation) | ≥ 1 test per family | High |
| TC-2.20-05 | LIB | Attack library covers MITRE ATLAS techniques relevant to surface (Foundry / Copilot Studio) | ≥ 1 test per declared in-scope technique | Medium |
| TC-2.20-06 | GOLD | Golden dataset ≥ minimum size for zone (Z1 25 / Z2 50 / Z3 100) | Count meets threshold | High |
| TC-2.20-07 | GOLD | Golden dataset refreshed within zone window | Refresh date < cadence window | Medium |
| TC-2.20-08 | PROBE | Probe runner executed within cadence window | lastRunUtc from latest summary < cadence + 7 d |
High |
| TC-2.20-09 | PROBE | Defense rate and release policy meet recorded zone requirements | Z1 ≥ 0.80, Z2 ≥ 0.90 and block regressions, Z3 ≥ 0.95 overall and ≥ 0.98 Critical/High families | High |
| TC-2.20-10 | PROBE | No Critical-severity test in FAIL state past 24-hour SLA without compensating control | Critical FAIL list reconciled to remediation tracker | Critical |
| TC-2.20-11 | GATE | Pre-deployment gate present and failure paths exercised | Empty/skipped suite, adapter/probe errors, unscored/REVIEW results, missing evidence and threshold/family breaches cannot pass | High |
| TC-2.20-12 | EVIDENCE | Evidence pack contains all expected artefact prefixes; SHA-256 manifest valid | All files parsed; recomputed hashes match manifest | Critical |
| TC-2.20-13 | EVIDENCE | Evidence pack landed at WORM destination; destination hashes match | Compare manifest to WORM-side recompute | Critical |
| TC-2.20-14 | RECON | Reconciliation with Control 1.21 ran within 48h of probe; supported signal windows recorded | Raw IDs, workload-specific correlation, event/ingestion times and gap/error/not-applicable reasons recorded; late signals followed up | High |
| TC-2.20-15 | 3P | Z3 only — third-party report on file dated within 400 days | Report present; date check passes | High |
TC narrative (one example — TC-2.20-09)
Test ID: TC-2.20-09 Family: PROBE Zone applicability: Z1, Z2, Z3 (different threshold each)
Z1 ≥ 0.80: documented acceptance gate (owner-approved default)
The repository owner decided (OceanSquad#911) that Z1 ≥ 0.80 is the documented acceptance gate, consistent across this case, the walkthrough and the sibling validator (powershell-setup.md). This resolves an earlier advisory-versus-0.80 inconsistency for the repository's documented operating default only. It is not a Microsoft product fact or regulatory requirement, and it does not show that any firm or tenant has adopted it; each firm records its own zone policy. Z2 and Z3 values, including the Z3 Critical/High family value, are unchanged.
Setup. Latest probe summary file must be parseable. Defense-rate field is summary.defense_rate (decimal 0.0 – 1.0). Preserve the denominator, per-family/severity outcomes and error/review counts; the sibling example summary does not supply a complete family-level release decision.
Procedure.
- Locate latest
2.20-summary-{Zone}-{ts}.jsonfor the agent. - Parse
defense_rate. - Compare to the zone threshold: Z1 ≥ 0.80 (documented acceptance gate; see the note above), Z2 overall ≥ 0.90 plus no regression, Z3 overall ≥ 0.95 plus Critical/High family ≥ 0.98.
- If below the applicable threshold, raise a finding with severity High and route to AI Governance Lead; block release where the firm's recorded policy enforces the gate.
Expected result. Complete scored results with defense rate ≥ zone threshold; incomplete or errored tests do not pass.
Evidence file. 2.20-TC-09-defense-rate.json with {actual, threshold, zone, status, runUtc}.
Audit assertion. "Defense rate {actual} for agent {agentId} at run {runUtc} meets {Zone} threshold {threshold} per 2.20 §1."
Use this assertion only when the threshold is met; for Zone 3 also include the Critical/High family results.
§4 Evidence pack schema and chain of custody
4.1 Required artefacts per cycle
| Artefact | Producer | Format | Required |
|---|---|---|---|
| Charter | GRC system export | Annual | |
| ROE | GRC system export | Annual | |
LIBRARY-VERSION + commit SHA |
Repo checkout | text | Per run |
GOLDEN-VERSION + commit SHA |
Repo checkout | text | Per run |
2.20-results-{zone}-{ts}.json |
Probe runner | JSON | Per run |
2.20-results-{zone}-{ts}.csv |
Probe runner | CSV | Per run |
2.20-summary-{zone}-{ts}.json |
Probe runner | JSON | Per run |
2.20-rai-policy-{ts}.json or assigned guardrail snapshot |
Applicable configuration plus assignment | JSON | Per run where applicable; explicit reason otherwise |
2.20-reconciliation-{ts}.json |
Supported telemetry queries/results and classification | JSON | Per run, including unavailable-plane reasons |
transcript-{ts}.log |
Start-Transcript |
text | Per run |
manifest.json |
Firm-validated evidence writer | JSON | Per run; cover every required artifact |
4.2 Manifest schema
[
{
"file": "2.20-results-Z3-20260415T140530Z.json",
"sha256": "9F8...A2C",
"bytes": 184293,
"generated_utc": "2026-04-15T14:05:31.214Z",
"script_version": "1.0.0",
"control": "2.20"
}
]
4.3 Chain-of-custody verification
After the runner writes the evidence pack to local storage, the WORM-landing job (Control 1.19) copies the pack to the retention-locked destination. Re-hashing at the destination must produce identical SHA-256 values. Any drift is a Critical finding.
The snippet below only compares manifests; identical manifests do not prove that destination file bytes match. Independently recompute SHA-256 for every required file at source and destination, verify the complete expected file set, and retain the recompute results. The sibling helper does not hash every artifact or implement this destination verifier.
# Verify integrity at WORM destination
$manifestSrc = Get-Content '.\evidence\manifest.json' -Raw | ConvertFrom-Json
$manifestDest = Get-Content '\\worm\agentgov\2.20\manifest.json' -Raw | ConvertFrom-Json
$diff = Compare-Object $manifestSrc $manifestDest -Property file, sha256
if ($diff) {
Write-Error "Chain-of-custody drift detected: $($diff | ConvertTo-Json -Compress)"
exit 2
}
§5 Auditor pack — what to hand to FSI Internal Audit / external auditor
The auditor pack is a curated subset of the evidence pack plus narrative context. Hand over the following bundle for a Control 2.20 examination:
| Item | Source | Why it matters |
|---|---|---|
| Signed charter (current year) | Records system | Demonstrates board / executive authorization (FINRA 3110, OCC Bulletin 2026-13 (formerly OCC 2011-12) governance) |
| Rules of Engagement (current) | Records system | Demonstrates scope discipline and legal review (CFAA hygiene) |
| Operator roster + separation-of-duties attestations | GRC system | OCC Bulletin 2026-13 (formerly OCC 2011-12) / Fed SR 26-2 (formerly SR 11-7) independence |
| Attack library coverage matrix vs OWASP LLM Top 10 (2025), MITRE ATLAS, FSI families | Library repo coverage.md |
Demonstrates threat-model completeness |
| Golden dataset version log + refresh dates (last 4 quarters) | Dataset repo | Demonstrates regression-testing rigor |
Last 12 monthly summaries (2.20-summary-Z3-*.json) for each Zone 3 agent |
Evidence pack | Demonstrates cadence and trend |
| Defense-rate trend chart (last 12 months) | Generated from summaries | Demonstrates program effectiveness over time |
| Findings register: severity, opened, closed, SLA met / breached, compensating-control sign-offs | GRC system | Demonstrates remediation discipline (FINRA 3110 supervision) |
| Reconciliation reports vs Control 1.21 (last 4 cycles) | Evidence pack | Demonstrates that detection actually fires when probes attack |
| Annual third-party assessment report (Z3) | Vendor deliverable | Independent challenge per OCC Bulletin 2026-13 (formerly OCC 2011-12) / Fed SR 26-2 (formerly SR 11-7) |
| Pipeline definition for pre-deployment gate | DevOps | Demonstrates pre-production enforcement |
| WORM chain-of-custody attestation | Evidence pack manifest.json (source) + WORM-side recompute log |
SEC 17a-4(f) integrity |
| WSP excerpt referencing program cadence and findings retention | Compliance | Demonstrates supervisory framework alignment |
Stage the auditor pack in a read-only share. Do not edit any artefact in place — copy the curated subset to a separate location, regenerate the manifest, and capture the WORM hash chain.
§6 Attestation statement template
## Control 2.20 Attestation — Adversarial Testing and Red Team Framework
**Organization:** [Organization Name]
**Control Owner:** AI Governance Lead — [Name]
**Period:** [YYYY-Qn]
**Date:** [YYYY-MM-DD]
I attest that, for the named period:
1. The Red Team Program Charter (v[X.Y]) is signed by the AI Governance Lead, CISO, and Compliance Officer and is current.
2. Rules of Engagement (v[X.Y]) were reviewed by Legal on [date] and govern all in-scope tests.
3. Operator role separation was enforced; no unresolved exceptions.
4. The attack library (commit [SHA]) covers OWASP Top 10 for LLM Applications (2025) categories LLM01–LLM10, the declared MITRE ATLAS techniques for the agent surface, and FSI abuse families (NPI, MNPI, suitability, persona, impersonation).
5. The golden dataset (v[X.Y]) contains [N] Q&A pairs and was refreshed on [date].
6. Probe cycles ran on the documented cadence:
- Zone 1 agents: annual ([N] runs)
- Zone 2 agents: quarterly ([N] runs)
- Zone 3 agents: monthly + per-release ([N] runs)
7. Defense rate met or exceeded the zone threshold for [N / N] agents. Exceptions: [list].
8. Findings: [N] Critical / [N] High / [N] Medium / [N] Low; [N] closed within SLA; [N] open with documented compensating control.
9. Reconciliation with Control 1.21 telemetry ran every cycle; [N] reconciliation gaps identified, [N] resolved.
10. Annual independent third-party assessment for Zone 3 agents was completed by [Vendor] on [date]; report on file.
11. Evidence packs were SHA-256-hashed and landed at the WORM destination; chain-of-custody verification passed for all packs.
**Signature:** _______________________
**Date:** _______________________
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Updated: November 2026 | Version: v1.6.2 | UI Verification Status: Needs Review (documentation re-verified 2026-11-07; tenant tests not executed)