The FTC Safeguards Rule outlines 9 separate components required for compliance. Each section listed below is a brief description of the core idea for each element followed by a direct link to the actual standard.

1. Designate a Qualified Individual

https://www.ecfr.gov/current/title-16/chapter-I/subchapter-C/part-314#p-314.4(a)

2. Perform and document risk assessment

https://www.ecfr.gov/current/title-16/chapter-I/subchapter-C/part-314#p-314.4(b)

3. Apply Controls

https://www.ecfr.gov/current/title-16/chapter-I/subchapter-C/part-314#p-314.4(c)

4. Validate controls

https://www.ecfr.gov/current/title-16/chapter-I/subchapter-C/part-314#p-314.4(d)

5: Develop Training/Auditing Program

https://www.ecfr.gov/current/title-16/chapter-I/subchapter-C/part-314#p-314.4(e)

6. Monitor Service Providers

https://www.ecfr.gov/current/title-16/chapter-I/subchapter-C/part-314#p-314.4(f)

7. Develop Continuous Improvement Cadence

https://www.ecfr.gov/current/title-16/chapter-I/subchapter-C/part-314#p-314.4(g)

8. Document Incident Response Plan

https://www.ecfr.gov/current/title-16/chapter-I/subchapter-C/part-314#p-314.4(h)

9. Provide Annual Reporting to Senior Leadership

https://www.ecfr.gov/current/title-16/chapter-I/subchapter-C/part-314#p-314.4(i)