Work the checklist yourself
Use the report and checklist with your own team. No further cost.
Step one of guided implementation
Safeguards Rule gap assessment for your dealership
Find out exactly where your dealership stands. I review your current program against every requirement of the FTC Safeguards Rule and give you a written report of the gaps, ranked by risk, with a checklist of what to do about each one.
Remote nationwide, on-site walkthroughs in the Carolinas
How the gap assessment works
- InterviewsA conversation with the owner or manager, plus your IT contact, about how your store handles customer information.
- Document reviewWhatever you already have: policies, a WISP or template, vendor contracts, training records.
- WalkthroughOn-site in the Carolinas, or by video: offices, F&I, file storage, workstations, and how people log in.
- Written report and review callYour gaps ranked by risk, what's already in good shape, and a checklist of next steps, walked through on a short call.
What's in your report
- A requirement-by-requirement review against 16 CFR 314.4
- Each gap ranked high, medium, or low risk
- What you're already doing well
- A checklist of what to do about each gap
- Which items are likely covered by the small-business exemption
- Which items need your IT provider or vendors
After the assessment: your options
You decide how much help you want with the checklist.
Your checklist, with someone to call
A monthly support plan for questions as your team works through the checklist, by email or scheduled phone calls, with an email recap of every call.
Guided implementation
One-on-one sessions that walk your team through each step, WISP templates, and optional between-session support. For only a little more than self-guided support, you get the full step-by-step program.
See guided implementation →Want it handled for you instead? See Qualified Individual services.
Gap assessment FAQ
What is a Safeguards Rule gap assessment?
A gap assessment compares what your dealership is doing today against each requirement of the FTC Safeguards Rule (16 CFR 314.4) and lists what's missing, ranked by risk, with a checklist of what to do about each gap.
Is a gap assessment the same as a risk assessment?
No. A gap assessment checks your program against the rule's requirements. The written risk assessment required by 314.4(b) is one of the things your program must include. The gap assessment will tell you whether yours exists and is adequate, but it does not replace it.
Can we fix the gaps ourselves after the assessment?
Yes. The report and checklist are yours to work from. If you want help along the way, you can add a monthly self-guided support plan, or move to guided implementation or a Qualified Individual plan.
Can the gap assessment be done remotely?
Yes. Interviews and document review can be done by video for dealerships anywhere in the United States. On-site walkthroughs are available in the Carolinas.
Find out where your dealership stands
Request a gap assessment. Pricing depends on the size of your store and number of locations.