Level 5 CMMC - CMMC Practices

CM.2.061  

Reference: CMMC 1.02

Family: CM

Level Introduced: 2

Practice:
Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles.

CMMC Clarification:
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.
An effective cybersecurity program depends on system and component configuration and management.

Example
You are in charge of upgrading the computer operating systems of your office’s 10 machines. You research how to setup and configure a machine with the least functionality and highest security. The setup must allow users to do their tasks. You document this configuration. Then, you apply it to the other nine machines. You understand the baseline configuration of every machine. This helps when you need to install new patches, software, or make changes.

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.

Discussion:
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 configuration

Organizations 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.

Source: NIST Special Publication 800-171 Rev. 2

CM-2

BASELINE CONFIGURATION

Description:
The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.

Supplemental Guidance:
This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture. Related controls: CM-3, CM-6, CM-8, CM-9, SA-10, PM-5, PM-7.

CM-6

CONFIGURATION SETTINGS

Description:
The organization:
    a. Establishes and documents configuration settings for information technology products employed within the information system using [Assignment: organization-defined security configuration checklists] that reflect the most restrictive mode consistent with operational requirements;
    b. Implements the configuration settings;
    c. Identifies, documents, and approves any deviations from established configuration settings for [Assignment: organization-defined information system components] based on [Assignment: organization-defined operational requirements]; and
    d. Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.

Supplemental Guidance:
Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline.
Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems. Related controls: AC-19, CM-2, CM-3, CM-7, SI-4.

CM-8

INFORMATION SYSTEM COMPONENT INVENTORY

Description:
The organization:
    a. Develops and documents an inventory of information system components that:
        1. Accurately reflects the current information system;
        2. Includes all components within the authorization boundary of the information system;
        3. Is at the level of granularity deemed necessary for tracking and reporting; and
        4. Includes [Assignment: organization-defined information deemed necessary to achieve effective information system component accountability]; and
    b. Reviews and updates the information system component inventory [Assignment: organization-defined frequency].

Supplemental Guidance:
Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, 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, for example, manufacturer, device type, model, serial number, and physical location. Related controls: CM-2, CM-6, PM-5.

CM-8 (1)

INFORMATION SYSTEM COMPONENT INVENTORY | UPDATES DURING INSTALLATIONS / REMOVALS

Description:
The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.

Supplemental Guidance:
None

Source: NIST Special Publication 800-53 Rev. 4

Source: CMMC v1.02