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NIST SP 800-171 Rev 2 · 3.4 Configuration Management

3.4.1 Baseline configuration

Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles.
SPRS weight
5
5 points deducted from 110 when not implemented.
CMMC level
L2
Level 2 only; not among the 17 Level 1 practices.
Assessment objectives
6
From NIST SP 800-171A, each one a “determine if” an assessor answers.

What an assessor checks

NIST SP 800-171A breaks 3.4.1 into 6 objectives. Every one has to be met for the requirement to be met; a partial answer scores as not implemented.

  1. [a]Determine if a baseline configuration is established.
  2. [b]Determine if the baseline configuration includes hardware, software, firmware, and documentation.
  3. [c]Determine if the baseline configuration is maintained (reviewed and updated) throughout the system development life cycle.
  4. [d]Determine if a system inventory is established.
  5. [e]Determine if the system inventory includes hardware, software, firmware, and documentation.
  6. [f]Determine if the inventory is maintained (reviewed and updated) throughout the system development life cycle.
Examine
[SELECT FROM: Configuration management policy; procedures addressing the baseline configuration of the system; procedures addressing system inventory; security plan; configuration management plan; system inventory records; inventory review and update records; enterprise architecture documentation; system design documentation; system architecture and configuration documentation; system configuration settings and associated documentation; change control records; system component installation records; system component removal records; other relevant documents or records].
Interview
[SELECT FROM: Personnel with configuration management responsibilities; personnel with responsibilities for establishing the system inventory; personnel with responsibilities for updating the system inventory; personnel with information security responsibilities; system or network administrators].
Test
[SELECT FROM: Organizational processes for managing baseline configurations; mechanisms supporting configuration control of the baseline configuration; organizational processes for developing and documenting an inventory of system components; organizational processes for updating inventory of system components; mechanisms supporting or implementing the system inventory; mechanisms implementing updating of the system inventory].

If it is open: POA&M eligibility

Not POA&M-eligible: above the 1-point ceiling · 5 points deducted

Worth 5 points. No requirement over 1 point may appear on a Level 2 POA&M, so this has to be closed before the assessment.

A POA&M is only permitted at a score of 88 or above, and closes in one 180-day window. Check a full gap list or compute your score.

Where 3.4.1 maps

NIST SP 800-53 Rev 5

  • CM-1 Configuration Management Policy
  • CM-2 Baseline Configurations
  • CM-8 Information System Component Inventory

NIST CSF 2.0

  • Assets are identified and inventoried Asset Management
  • Configuration management processes are established Information Protection Processes and Procedures

SOC 2

  • CC8 Change Management - Implement change management activities

Query it from your own tools

This page and the MacTech CMMC MCP server render the same dataset. Ask your assistant and it will answer from the methodology, not from memory.

lookup_control 3.4.1
get_assessment_objectives 3.4.1
generate_poam_entries ["3.4.1"]

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From MacZine

Working notes on Configuration Management

The full run →