Fractional compliance officer · for ABA clinics

The rule requires
a named human.

Both rules do. A security official (45 CFR 164.308(a)(2)) and a privacy official (45 CFR 164.530(a)), both Required. And then neither rule says a word about what that person actually does on a Tuesday. So here is the job, published in full.

Why the questions have to be asked out loud

Nobody at your clinic is thinking about compliance.
That is not negligence.

Your people are thinking about authorizations, staffing tomorrow's session, and whether the payer paid. That is a clinic running correctly. Which means your clinic's reality never enters a compliance system on its own.

Nobody logs in to announce that they started faxing again.

Nobody files a note that an RBT is collecting data on a personal phone, or that a stack of data sheets has been in someone's trunk since Tuesday. Those things happened because they solved a problem, and the compliance consequence never crossed anyone's mind.

A compliance system that waits to be told the truth will be confidently, provably wrong about your clinic, with a timestamp on it. A stale record that looks current is worse than no record. It is a lie with an audit trail.

That is the whole reason the officer exists. Not as a service wrapped around software. The officer is how reality gets into the system, because there is no other path and there never was.

The provision nobody is selling

Find it early, and the rule
removes the penalty.

Not reduces. Removes. This is the clause that turns a weekly conversation from administrative hygiene into an instrument with a number attached, and almost nobody in this market mentions it, because almost nobody knows it is there.

45 CFR 160.410(b)

A violation not due to willful neglect, corrected within 30 days of when you knew or should have known, may not have a penalty imposed.

An affirmative defense, written into the regulation. Something goes wrong in every clinic eventually. If it surfaces on Tuesday and closes inside thirty days, the rule itself takes the penalty away. If nobody asks, it surfaces two years later inside a breach investigation, where it is not a correction. It is a finding.

The cadence below is a machine for finding things while that window is still open. How it plays out in an OCR investigation →

The cadence

Set by how fast the fact changes.
Not by how the regulation is organized.

Turnover moves weekly. Systems drift monthly. The gap between paper and practice shows quarterly. Whether the model still matches the clinic is an annual question. And some things start a legal clock the moment they happen.

The weekly six
15 to 30 minutes
Who joined? Trained before PHI access, or it is a live finding.
164.530(b)(2)
Who left, and is their access actually gone? Asked as a list, never as a yes or no.
164.308(a)(3)
Did anyone's role change? Access follows the job, and it accumulates.
164.502(b)
Did anything go sideways with patient information this week?
164.404(b)
Any new clients? New PHI, and the notice obligations attach.
164.520(c)
Did anyone start using anything new? This is where the fax comes back.
164.502(e)
Question four is asked in human words, never as "were there any security incidents this week," because that question is answered no by every clinic that ever had one.
Then monthly, the systems. New vendors, new devices, physical changes, training overdue, payer changes, and the ABA question no generic checklist contains: the paper. Where is it, who took it out, and did it come back. Quarterly, the evidence. Access recertification line by line, the activity review almost no small clinic performs, the BAA sweep, and the only question that matters about last quarter's risk register: you said you would fix things, did you. Annually, the settlement, which is a reading rather than an investigation if the asking was honest all year. The full script, every question, with the citation behind each one →
One thing the officer catches that you cannot

The write-up that becomes
a retaliation claim.

An employee files a compliance report. Two weeks later a supervisor writes them up for something unrelated, and the write-up is probably fair. But the person approving it never knew a report was on file, and now the clinic has disciplined someone right after they did a protected thing, with nothing on paper showing the two were weighed separately. That is retaliation by accident, and to an investigator, "we did not know" is a weak answer.

When a sanction is drafted, the report on file raises its hand.

The platform checks whether the person being disciplined has a report on file, and if so, it surfaces a single caution before anything is signed: document your non-retaliatory reasons first. It answers yes or no and nothing else. No date, no category, no link to the report, because a caution detailed enough to identify the reporter would be the very thing it is meant to prevent.

The officer is who acts on it. The prompt is only useful if someone with the authority to slow a write-up down is actually watching, reads it, and makes the call document, defer, or proceed with reasons recorded. That is the job, and it is the difference between a defensible decision and an accidental finding. How the reporting channel and the retaliation check actually work →

Who does the asking

You can be the officer.
Or you can hand it to us.

The rule does not require a credential, a certification, or an outside firm. It requires a named human with the authority to actually do something, and a record that they did it. That person can absolutely be you.

Run it yourself
  • The platform generates the questions from your clinic's real configuration, so you are never staring at a generic checklist.
  • One answer updates everything it touches: the assets, the threats, the policies, the controls, the clocks.
  • It works if you genuinely have the authority to make someone stop doing something, and the time to ask every week.
  • It fails, quietly and completely, if the title goes to someone with neither.
The honest version of the choice: the platform will tell the truth about your clinic either way. The only question is whether somebody is on the other end of it.

Someone has to ask.

Every week, in plain words, of people who are not thinking about compliance and should not have to be. That is the job. If you want it done and you do not want to do it, that is what we are for.