Operational Controls
Day-to-day procedures and activities performed by people to maintain security. Operational controls involve human execution of security tasks such as log reviews, incident response, change management, and security monitoring.
Understanding Operational Controls
Operational controls are the human element of security—the tasks that people perform daily to keep security functioning. Unlike technical controls that run automatically or managerial controls that define policy, operational controls require someone to actively do something.
Here's the key distinction: a firewall is technical (it blocks traffic automatically). A firewall policy is managerial (it defines what the firewall should do). A security analyst reviewing firewall logs is operational (a person performing a security task).
Operational controls bridge the gap between policy and technology. They're how security actually happens day-to-day: analysts reviewing alerts, administrators applying patches, responders handling incidents, and trainers delivering awareness programs.
Why This Matters for the Exam
Domain 4 (Security Operations) is 28% of the exam and heavily features operational controls. Understanding this category helps you connect Domain 1 concepts to the practical security operations tested in Domain 4.
The exam frequently tests the distinction between managerial and operational controls. This is the #1 confusion point in control categories. Remember: creating a policy is managerial; executing it is operational. Writing an incident response plan is managerial; following it during an actual incident is operational.
Operational controls also highlight the human factor in security. Technology alone isn't enough—people must operate, monitor, and respond. This connects to security awareness, insider threats, and the reality that security depends on human performance.
Deep Dive
Common Operational Controls on the Exam
Monitoring and Review
- •Log review — Analysts examining security logs
- •SIEM monitoring — Security team watching dashboards
- •Alert triage — Investigating and prioritizing alerts
- •Vulnerability assessment execution — Running and reviewing scans
Incident and Change Management
- •Incident response execution — Following IR procedures
- •Change implementation — Executing approved changes
- •Patch deployment — Applying security updates
- •Configuration management — Maintaining secure baselines
Personnel Security
- •Background check execution — HR conducting checks (policy is managerial)
- •Security awareness training delivery — Trainers presenting content
- •Escort procedures — Staff escorting visitors
- •Termination procedures — Executing offboarding checklists
Physical Security Operations
- •Security patrols — Guards walking routes
- •Access verification — Reception checking badges
- •Media handling — Staff following destruction procedures
- •Visitor management — Logging and escorting visitors
The Operational vs. Managerial Distinction
This is the most-tested control category comparison:
| Managerial (Creates/Defines) | Operational (Executes/Performs) |
|---|---|
| Background check policy | HR conducting background checks |
| Incident response plan | Analyst responding to incidents |
| Security training program | Trainer delivering the training |
| Change management policy | Admin implementing changes |
| Log retention policy | System admin managing log storage |
| Patch management policy | IT staff deploying patches |
The pattern: Managerial controls CREATE the requirement. Operational controls EXECUTE it.
Operational Controls vs. Technical Controls
Another common confusion:
| Technical (Automated) | Operational (Human-Performed) |
|---|---|
| IDS generating alerts | Analyst reviewing IDS alerts |
| Firewall blocking traffic | Admin configuring firewall rules |
| Antivirus scanning files | IT deploying antivirus updates |
| Backup running automatically | Admin verifying backup success |
The pattern: Technical controls work without constant human intervention. Operational controls require people to actively perform tasks.
Characteristics of Operational Controls
• Human-dependent — Require people to execute • Ongoing — Must be performed regularly • Documented — Follow procedures (managerial controls) • Measurable — Performance can be tracked • Trainable — Effectiveness depends on training
How CompTIA Tests This
Example Analysis
Scenario: A company's security policy requires daily review of all failed login attempts. Each morning, a security analyst runs a report from the SIEM, examines the failed logins, identifies any suspicious patterns, and escalates potential security incidents to the security manager.
Analysis: Multiple control types are at work: • Policy requiring daily review = Managerial (defines the requirement) • SIEM collecting and reporting data = Technical (automated collection) • Analyst reviewing and analyzing = Operational (human task) • Escalation to manager = Operational (human communication)
Why the analyst's review is operational: • It requires a person to actively perform the task • The person applies judgment (identifying "suspicious" patterns) • It happens daily as an ongoing responsibility • It follows a defined procedure
If the SIEM automatically detected and blocked suspicious logins = that would be technical (automated, no human required).
Key Terms to Know
Common Mistakes to Avoid
Exam Tips
Memory Trick
"Operational controls = OPERATIONS performed by OPERATORS"
If a person must actively DO something for the control to work, it's operational.
- •The Action Test:
- •Ask yourself: "Does this require a PERSON to actively PERFORM a task?"
- •Yes → Operational
- •No (document) → Managerial
- •No (automated) → Technical
- •No (physical barrier) → Physical
The Job Description Test: If it sounds like something in a security job description: "Reviews logs daily" → Operational "Responds to incidents" → Operational "Conducts security assessments" → Operational
The Execution Pattern: Policy → Procedure → Execution Managerial → Managerial → Operational
Policies and procedures are managerial. EXECUTING them is operational.
Test Your Knowledge
Q1.A security analyst reviews SIEM alerts each morning and investigates any suspicious activity. This daily review activity is which type of control?
Q2.Which of the following BEST represents an operational control?
Q3.An organization's change management policy requires all changes to be tested before production deployment. An IT administrator runs test scripts to validate a security patch before deploying it. Which statement correctly identifies the control types?
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