Episode 11: Compensating and Directive Controls (Domain 1)

Compensating and directive controls often serve as the bridge between policy and practice, offering essential flexibility and guidance in environments where standard controls may not be viable. This episode explains compensating controls as alternative safeguards—deployed when ideal solutions, such as specific encryption technologies or access enforcement mechanisms, are not available due to technical, financial, or operational constraints. These controls must meet the intent and rigor of the original requirement and are often used in compliance frameworks to maintain equivalency. Directive controls, meanwhile, are focused on driving user behavior through written policies, signage, procedures, and security briefings, helping to instill a culture of security awareness and accountability. We explore real-world use cases for both control types, emphasizing how they support security posture without introducing unnecessary friction. Whether it's replacing a physical access system with a manual logging procedure or issuing formal instructions during security onboarding, these control types reinforce structure and intent where direct enforcement may not be possible.

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In this episode, we will cover the last two security control types: compensating controls and directive controls. These two types often receive less attention than others, but they are important parts of a complete security strategy. Together, they help organizations maintain protection when ideal solutions are not available and reinforce expected behaviors through communication and structure.
Let’s begin with compensating controls. These are alternative measures that an organization puts in place when the preferred or standard control cannot be used. Sometimes, a primary control is not feasible. It might be too expensive, technically incompatible, or restricted by legacy systems. When that happens, a compensating control serves as a backup solution to reduce risk in a different way.
Imagine a company that uses an old accounting system that cannot support modern encryption. The ideal control would be to encrypt all sensitive data stored on that system. But if the system cannot support it, the organization might place that server in a physically secure room with strict access controls and enhanced monitoring. These alternative steps do not encrypt the data, but they help protect it through other means. That is a compensating control in action.
Compensating controls are also common in regulatory environments. For example, some compliance frameworks require multifactor authentication for system access. But if a particular system cannot support it, an organization might implement compensating controls like logging every access attempt, increasing the frequency of audits, and using strong password requirements. These steps help meet the spirit of the regulation, even if the letter of the requirement cannot be fulfilled exactly as written.
The effectiveness of a compensating control depends on how well it addresses the original risk. To be acceptable, the control must reduce the risk to the same level—or lower—than the original control would have. That means organizations must evaluate their compensating controls carefully. The control should be specific, measurable, and supported by documentation. It is not enough to say “we are doing something else”—there needs to be a clear explanation of what the control is, why it was chosen, and how it effectively manages the risk.
Examples of compensating controls include enhanced logging, increased manual review, strict physical security, and layered authentication steps. Each of these can fill in when the ideal technical control is unavailable. But these solutions must be evaluated regularly to ensure they remain effective, especially as systems change or new vulnerabilities are discovered.
Now let’s move to directive controls. These are controls that communicate instructions, guidance, or rules that users are expected to follow. The goal of directive controls is to influence behavior and ensure that people understand their responsibilities when it comes to maintaining security. While they do not directly block or detect threats, they set the foundation for how users interact with systems and data.
A clear and well-written security policy is one of the most important directive controls. For example, a company might have a policy that says employees must not use personal email accounts to send work-related information. That policy sets an expectation, and it creates a standard that can be reinforced by training and monitored for compliance.
Security awareness training is another example of a directive control. Through training, users learn what threats to watch for and what actions to take. For instance, training might include instructions for identifying phishing emails or steps to follow when reporting suspicious activity. By giving people clear instructions, directive controls help shape secure behavior and reduce risky actions.
Even signage can serve as a directive control. A sign on a server room door that reads “Authorized Personnel Only” is not just for show—it is a directive that reinforces a policy. It tells users what is expected and makes clear that access is restricted. Combined with other control types, directive signage helps maintain order and prevent misunderstandings.
Directive controls also play a critical role in shaping organizational culture. When leadership communicates expectations clearly and regularly, it builds a culture of security. Employees begin to understand that security is everyone’s responsibility. They know what is allowed, what is not, and how to report concerns. This culture reduces mistakes, increases vigilance, and supports other security controls already in place.
From a practical standpoint, directive controls work best when they are consistent, understandable, and supported by other controls. A policy that is too vague or buried in a long document will likely be ignored. But a short, clear message that is repeated through training, signage, and leadership behavior will have a much greater impact. Reinforcement matters, and when users know what is expected, they are more likely to follow through.
As you study for the Security Plus exam, be sure you can distinguish between compensating and directive controls. Compensating controls are used when the ideal solution is not possible—they provide an alternative that still manages the risk. Directive controls are about communication—they guide people’s behavior through policies, instructions, and reminders. The exam may present a scenario where a system lacks a required feature or where users need clear guidance. Your job is to recognize which type of control would apply and how it supports the overall security plan.