3.4.1
CM.L2-3.4.1 · Level 2
Establish and maintain baseline configurations and inventories of organizational systems (including…
NIST SP 800-171 Rev 2 · §3.4.1
Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles.
Assessment objectives
3.4.1[a]
a baseline configuration is established.
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].
3.4.1[b]
the baseline configuration includes hardware, software, firmware, and documentation.
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].
3.4.1[c]
the baseline configuration 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].
3.4.1[d]
a system inventory is established.
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].
3.4.1[e]
the system inventory includes hardware, software, firmware, and documentation.
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].
3.4.1[f]
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].
What we look for in practice
The following are placeholder notes that should be refined based on practice experience.
What assessors look for in practice. Documented evidence that this control is implemented across all CUI-handling systems within scope. Specific artifacts vary, but expect requests for written procedures, system configurations, and operational records demonstrating the control is active.
Common failure patterns. Typical issues include incomplete documentation, inconsistent implementation across systems, and missing periodic review records. Refine this section as your practice accumulates direct assessment experience.
Strong evidence looks like. Formal policy referencing this control, technical configurations demonstrating enforcement, periodic review logs with sign-off, and procedures for handling exceptions.
Scoring and POA&M context. 5-point control under the DoD Assessment Methodology. Highest scoring impact — treat as a foundational requirement. Not POA&M-eligible — must be implemented at assessment time.