Overview
  1. 03.01: Access Control
  2. 03.02: Awareness and Training
  3. 03.03: Audit and Accountability
  4. 03.04: Configuration Management
  5. 03.05: Identification and Authentication
  6. 03.06: Incident Response
  7. 03.07: Maintenance
  8. 03.08: Media Protection
  9. 03.09: Personnel Security
  10. 03.10: Physical Protection
  11. 03.11: Risk Assessment
  12. 03.12: Security Assessment
  13. 03.13: System and Communications Protection
  14. 03.14: System and Information Integrity

Security Requirements for 03.04.01 System Baselining

Baseline configurations are documented, formally reviewed, and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and changes to systems. Baseline configurations include information about system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and update and patch information on operating systems and applications; and configuration settings and parameters), network topology, and the logical placement of those components within the system architecture. Baseline configurations of systems also reflect the current enterprise architecture. Maintaining effective baseline configurations requires creating new baselines as organizational systems change over time. Baseline configuration maintenance includes reviewing and updating the baseline configuration when changes are made based on security risks and deviations from the established baseline configurationOrganizations can implement centralized system component inventories that include components from multiple organizational systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., system association, system owner). Information deemed necessary for effective accountability of system components includes hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include manufacturer, device type, model, serial number, and physical location.[SP 800-128] provides guidance on security-focused configuration management.

Assessment GuidanceExamine 0/15

How an assessor determines this requirement is met. Source: CMMC Assessment Guide – Level 2, Version 2.13 (NIST SP 800-171 Rev. 2).

Discussion

An effective cybersecurity program depends on consistent, secure system and component configuration and management. Build and configure systems from a known, secure, and approved configuration baseline. This includes:

documenting the software and configuration settings of a system;

placement within the network; and

other specifications as required by the organization.

Examples

  1. Example 1

    You are in charge of upgrading the computer operating systems of your office’s computers. Some of these computers process, store, or transmit CUI. You research how to set up and configure a workstation with the least functionality and highest security and use that as the framework for creating a configuration that minimizes functionality while still allowing users to do their tasks. After testing the new baseline on a single workstation, you document this configuration and apply it to the other computers [a]. You then check to make sure that the software changes are accurately reflected in your master system inventory [e]. Finally, you set a calendar reminder to review the baseline in three months [f].

Assessment Methods

Examine
The process of reviewing, inspecting, observing, studying, or analyzing assessment objects (e.g., policies, procedures, plans, system designs, mechanisms) to facilitate understanding, achieve clarification, or obtain evidence.Example: An assessor reads the access control policy and inspects system configuration settings to confirm they match.

Not all of the evidence listed is required to meet this requirement — check the items your organization has collected.

Interview
The process of holding discussions with individuals or groups within an organization to facilitate understanding, achieve clarification, or identify the location of evidence.Example: An assessor asks a system administrator to describe how user accounts are approved, reviewed, and disabled.
  • 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
The process of exercising assessment objects (e.g., activities, mechanisms) under specified conditions to compare actual behavior with expected behavior.Example: An assessor attempts to sign in with a disabled account to confirm that access is denied.
  • 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

Potential Assessment Considerations

  • Do baseline configurations include software versions and patch level, configuration parameters, network information, and communications with connected systems [a, b]?
  • Are baseline configurations updated as needed to accommodate security risks or software changes [c]?

Key References

NIST SP 800-171 Rev. 2 3.4.1

Evidence

  1. 03.04.01.a

    A baseline configuration is established

  1. 03.04.01.b

    The baseline configuration includes hardware, software, firmware, and documentation

  1. 03.04.01.c

    The baseline configuration is maintained (reviewed and updated) throughout the system development life cycle

  1. 03.04.01.d

    A system inventory is established

  1. 03.04.01.e

    The system inventory includes hardware, software, firmware, and documentation

  1. 03.04.01.f

    The inventory is maintained (reviewed and updated) throughout the system development life cycle