A robust information security program is necessary for effective business operations and continuity, regulatory compliance and risk management. A security program includes administrative controls (institutional policy, procedures, protocols, documentation, training), technical controls (software and hardware) and physical controls (secure physical access to systems and data) to help protect institutional information and research data.

This documentation maps relevant information security and privacy controls to the institutional information and research data categories established in the Information Security Policy. 

The user of every device connected to the campus network or that stores or transmits institutional information and research data is responsible for adherence to security control standards.

Foundational Information Security Controls

Per the Information Security Policy, all information technology resources, regardless of ownership, that contain institutional information or research data must have the following foundational information security controls in place and functioning:

• Anti-virus software
• Patching & central management of University-owned computers
• Encryption
• Firewalls
• Secure disposal

Alternative, but equally effective, controls may be substituted in accordance with the exception process. Additional controls may be required based on the categorization of the information or data, the nature of the information technology resource, the applicable regulatory or contractual requirements, or other risk management calculations.

Information Security Controls for Institutional Information and Research Data Categories

NIST Special Publication 800-53 is the collection of controls referenced in the Information Security Policy. These security and privacy controls apply to an environment based on its overall categorization (Low, Moderate, High) and risk assessment.

The university provides certain services, such as the UMass Amherst Data Center, Active Directory, etc., to assist areas in complying with many of these controls.

The table below is an overview of the twenty control families in NIST 800-53.

Control Families

Identifier	Control Family	Identifier	Control Family
AC	Access Control	MP	Media Protection
AT	Awareness and Training	PA	Privacy Authorization
AU	Audit and Accountability	PE	Physical and Environmental Protection
CA	Assessment, Authorization, and Monitoring	PL	Planning
CM	Configuration Management	PM	Program Management
CP	Contingency Planning	PS	Personnel Security
IA	Identification and Authentication	RA	Risk Assessment
IP	Individual Participation	SA	System and Services Acquisition
IR	Incident Response	SC	System and Communications Protection
MA	Maintenance	SI	System and Information Integrity