Baseline Configuration is the first requirement in the Configuration Management (03.04) family, and it is the foundation the rest of the family builds on. A baseline configuration is a documented, formally reviewed, and agreed-upon specification of a system that serves as the basis for future builds, releases, and changes. Baseline Configuration (03.04.01) requires two things: develop and maintain a current baseline configuration of the system under configuration control, and review and update that baseline on a defined frequency and whenever system components are installed or modified. Per the NIST discussion, baseline configurations include information about system components, operational procedures, network topology, and the placement of components in the system architecture, and they reflect the current enterprise architecture.
A common difficulty with this requirement is treating a one-time build document as a baseline. A baseline is only useful if it is current, held under configuration control, and refreshed as the system changes. R3 also separated the inventory work that R2 bundled here into its own requirement (03.04.10), so 03.04.01 is now specifically about the configuration baseline, not the asset list.
Where things stand for companies facing the transition from NIST 800-171 R2 to R3:
The following is reproduced verbatim from NIST 800-171 R3, requirement 03.04.01 Baseline Configuration. Only the formatting has been adjusted for readability. This requirement has two (2) lettered parts:
The source control is CM-02 from NIST 800-53. The bracketed assignment in part b is the Organization-Defined Parameter (ODP): the review and update frequency. Per the NIST discussion, maintaining baseline configurations requires creating new baselines as the system changes over time, and the baseline serves as the basis for future builds, releases, or changes. You can read the requirement directly at NIST 800-171 R3, 03.04.01 (p. 26).
One (1) value sits inside this requirement. Depending on your contract, your organization may be permitted to define it. Organizations in the DIB subject to CMMC are not, because the DoD has defined it as policy.
The value below comes from Attachment A of the DoD Chief Information Officer (CIO) memorandum dated 10 April 2025 (signed David W. McKeown). The memo identifies each parameter by requirement sub-part, while NIST 800-171A R3 identifies the same parameter by ODP number. Both identifiers appear below so you can match your System Security Plan (SSP) language to either document.
The memo states that its values "will be updated as necessary," so confirm against the current version before writing them into policy.
NIST 800-171A R3 breaks 03.04.01 into seven (7) assessment objectives: one (1) Organization-Defined Parameter (ODP) and six (6) determination statements. These AOs are:
Part b becomes four (4) objectives because review and update are separate, and each is triggered both by the frequency and by component installation or modification. If you are a DoD contractor, the ODP is specified. Per the DoD-specified ODP value in ComplianceForge's NIST 800-171 R3 Transition Guide, the review and update frequency (ODP[01]) is at least every twelve (12) months and after any significant incidents or significant changes occur. The full guidance on assessment methods and objects, is in NIST 800-171A R3, 03.04.01 (p. 32).
Examine: configuration management policy and procedures; procedures for the baseline system configuration; configuration management plan; enterprise architecture; system design documentation; system architecture; system configuration settings; system component inventory; change control records; system security plan.
Interview: personnel with configuration management responsibilities; personnel with information security responsibilities; system administrators.
Test: processes for managing baseline configurations; mechanisms for supporting configuration control of the baseline configuration.
03.04.01 maps from NIST 800-171 R2 requirement 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):
Mapped against the seven (7) AOs, two (2) are direct (minimal effort) and five (5) are indirect (moderate effort), with no net-new AOs and none with no mapping. The baseline configuration work carries forward, but R2 3.4.1 also covered the system inventory (3.4.1[d] through [f]). R3 moved that inventory work to System Component Inventory (03.04.10), so do not expect this requirement to cover your asset list. The indirect mapping on the review-and-update objectives means you should confirm your baseline maintenance cadence meets the R3 wording.
Source Control in NIST 800-53 R5:
Secure Controls Framework (SCF) Crosswalk
Organizations running a single control set across multiple frameworks can satisfy 03.04.01 through the following SCF controls:
The crosswalks from NIST 800-171 R3 and NIST 800-171A R3 to the SCF are available at no cost through the SCF Set Theory Relationship Mapping (STRM): https://securecontrolsframework.com/start-here/set-theory-relationship-mapping-strm. The STRM also carries the relationship type for each mapping (Equal, Subset Of, Intersects With), which tells you whether an SCF control fully satisfies the requirement or only part of it. Mapping above taken from SCF 2026.3.
The following are issues teams may encounter rather than certainties. They are about currency and configuration control, each of which needs documented evidence of due diligence and due care such as policies, standards, procedures, and configuration screenshots:
Reasonable objective evidence for an assessment is often subjective. The following examples of evidence to address NIST 800-171 R3 03.04.01 are sourced from the SCF Evidence Request List (ERL), available at https://securecontrolsframework.com/free-content/scf-download. These ERL artifacts are mapped to NIST 800-171 R3 03.04.01 through SCF controls. They establish a starting point for discussions on what an organization needs to have for evidence of due diligence and due care to withstand external scrutiny by an assessor or regulator.
Alongside these, keep the System Security Plan (SSP) narrative for 03.04.01 recording the ODP values you adopted.
With two (2) AOs mapping directly and five indirectly, 03.04.01 is a moderate lift centered on baseline maintenance. A realistic sequence:
What value does the DoD require for the organization-defined parameter in NIST 800-171 R3 03.04.01? R3 leaves the value to the organization. For the DIB, the DoD set it in the 10 April 2025 memorandum under ODP identifier 03.04.01.b: at least every 12 months and after any significant incidents or significant changes occur.
How many assessment objectives does NIST 800-171 R3 03.04.01 have? NIST 800-171A R3 breaks 03.04.01 into seven (7) assessment objectives: one (1) Organization-Defined Parameters (ODPs) and six (6) determination statements. An assessor works through each one separately, so each needs its own evidence.
Which NIST 800-53 R5 control does NIST 800-171 R3 03.04.01 come from? CM-02.
Where does NIST 800-171 R3 03.04.01 sit in the NIST 800-171 R3 Kill Chain? Phase 12, Secure Baseline Configurations (SBC). The Kill Chain is a phased model for sequencing R3 implementation, and it assigns this requirement to that phase.
03.04.01 Baseline Configuration develops and maintains a current, configuration-controlled baseline and keeps it current on a defined frequency and after component changes. It maps from R2 3.4.1 with the baseline objectives transitioning directly and the review-and-update objectives indirectly, and R3 moved the inventory work to 03.04.10. The recurring problem is a static build document. Put the baseline under configuration control, set the review frequency (for DoD, at least every twelve months and after significant incidents or changes), and update it on that schedule and after component changes.
Authoritative sources:
Authoritative sources:
This guide reproduces U.S. Government text from NIST 800-171 R3 and NIST 800-171A R3 and references the DoD ODP memorandum of 10 April 2025. It is educational, not legal or assessment advice. Last reviewed: 2026-09-22.
