We are pleased to announce the release of the updated GLBA Safeguards Framework, along with its companion Assessment and Task Pack. These resources have been meticulously developed to align directly with the Safeguards Rule under the Gramm-Leach-Bliley Act (GLBA) (16 C.F.R. § 314) and reflect the full set of regulatory requirements for information security under U.S. federal law—the same foundational authorities that informed the CFR provisions on safeguarding customer information.
Key Highlights
- Regulatory Foundation: Built directly from the GLBA Safeguards Rule (16 C.F.R. Part 314), the framework mirrors the specific administrative, technical, and physical safeguard requirements mandated by the regulation—including risk assessment, monitoring, incident response, and service provider oversight.
- Comprehensive Assessment: The updated Assessment guides organizations through all mandatory elements—such as designating a qualified individual, conducting a written risk assessment, implementing safeguards for identified risks, testing and monitoring effectiveness, and periodically adjusting the program—aligned precisely with the GLBA Safeguards Rule.
- Action-Oriented Task Pack: The Task Pack delivers practical, implementation-ready tools—e.g., pre-written questionnaires, task-based controls, and remediation steps—for each safeguard requirement. This empowers organizations to operationalize compliance with clear, traceable actions.
How GLBA Encourages Use of Appropriate Security Frameworks
While the GLBA Safeguards Rule prescribes what must be done, it does not mandate how to do it—offering flexibility for covered institutions to adopt or tailor existing security frameworks that align with their environment, risk profile, and organizational context.
Here’s how organizations can meet the Rule while choosing the right framework for them:
- Risk Assessment Flexibility
The Safeguards Rule mandates a written risk assessment identifying reasonably foreseeable internal and external risks and evaluating sufficiency of existing safeguards. It does not prescribe a specific methodology—meaning you may align this with frameworks such as NIST SP 800-53, NIST SP 800-171, NIST Cybersecurity Framework (CSF), ISO/IEC 27001, or others suited to your industry and organizational needs. - Control Mapping
Organizations can map the Safeguards Rule’s mandatory elements—encryption, multi-factor authentication, monitoring and testing, secure disposal, incident response planning, service provider oversight, and reporting to governing bodies—to control sets within their chosen framework. For example, NIST CSF can be used to translate GLBA’s requirements into “Identify,” “Protect,” “Detect,” “Respond,” and “Recover” functions, as long as the required controls are demonstrably in place and effective. - Scalable Adaptation
The Rule emphasizes that safeguards must be “appropriate to the size and complexity of the institution,” and the sensitivity of the customer information handled. This reinforces the expectation that organizations select frameworks that scale and fit their operational footprint—not one-size-fits-all. - Continuous Improvement
GLBA requires testing or monitoring the effectiveness of safeguards, evaluating and adjusting in light of changes or test results, and periodically reporting to senior leadership. Many security frameworks already embed continuous monitoring and governance, making them natural complements to these GLBA mandates.
Summary
Built from and aligned with the GLBA Safeguards Rule (16 C.F.R. § 314), the updated Framework, Assessment, and Task Pack fully encapsulate the mandated elements of a compliant information security program.
- Provides flexibility and guidance for selecting an appropriate security framework—such as NIST SP 800-171, CSF, ISO/IEC 27001, etc.—that aligns with your organization’s size, complexity, and risk environment while ensuring GLBA compliance.
- Includes concrete tools and templates to operationalize each requirement through structured tasks, checklists, and implementation guidance.
Get Started
Organizations can now begin their GLBA compliance journey using the Apptega app, leveraging the updated Framework, Assessment, and Task Pack to align with the Safeguards Rule in a way that best fits their environment.
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