Management Responsibility

2. Responsibility, Schedule, and Control

Introduction

This topic contains information on

• management responsibility,
• who may complete SOARs,
• frequency of SOARs,
• schedule of SOARs,
• necessity for more frequent analysis and/or data collection,
• extension requests, and
• control log for recommendations.

Change Date

October 1, 2025

1.C.2.a. Management Responsibility

The DROC Manager (DROCM) is responsible for the ongoing analysis of the DROC operations, to include SOARs required by this chapter, as well as those required by local DROC policy.

Responsibilities include:

• ensuring SOARs are completed according to this chapter
• ensuring the depth of analysis is sufficient to identify potential problem areas establish best practices, and
• ensuring appropriate recommendations are tracked and completed.

1.C.2.b. Who May Compete SOARs

DROCMs may assign SOARs to any division personnel who are sufficiently experienced in DROC operations and who display analyticlal ablity. Completing SOARs is not limited to supervisory personnel.

Consulting with subject matter experts and all levels of management during the SOAR planning, data gathering, and analysis portions is crucial to a successful result.

1.C.2.c. Frequency of SOARs

DROCs must complete each SOAR biannually. The two annual SOAR windows are:

• December to February
• June to August

Example: The DROC must draft, submit, and receive concurrence on the SOAR for Local Quality once during the December to February window and once during the June to August window.

1.C.2.d. Schedule of SOARs

The DROCM is responsible for preparing the SOAR schedule prior to the start of each fiscal year. Schedules must align with the frequency requirement set forth in this chapter and must include:

• the person(s) responsible for completing the SOAR,
• the position title of the person responsible for the report,
• the due date, and
• a tracker of the dates the completed SOARs were submitted.

1.C.2.e. Necessity for More Frequent Analysis and/or Data Collection

DROCs must conduct SOARs on a schedule that, at a minimum, meets the requirements established in this chapter. However, analysis and data collection may be necessary more frequently than scheduled to determine trends, obtain facts for special reports, or determine quality in specified areas.

It may be necessary to analyze only a segment of an area of review more frequently than scheduled.

Example: If the DROC determines a problem with the local quality reviews, then this topic should be analyzed more frequently, assessing the effectiveness of recommendations until the issue is resolved. The DROC must retain all findings and discuss the findings in the next regularly scheduled SOAR on the topic.

1.C.2.f. Extension Requests

The SOAR author may submit an extension request to the DRCOM prior to the scheduled due date. The DROCM may grant extensions only within the current SOAR scheduling window.

Note: The DROC must document all extension requests and approvals; extension approvals must be updated on the schedule to indicate the new approved due date.

Example: The SOAR scheduled due date is December 31. The SOAR author submits a request for extension to the DROCM with the reason for extension request on December 1. An extension may be granted by the DROCM within the current scheduling window to no later than February 28.

1.C.2.g. Control Log for Recommendations

DROCs must maintain a control log for the completion of SOAR recommendations. The log must include the following:

• recommendation(s)
• action to be completed,
• evaluative criteria that will be used to measure success,
• names of individual(s) and/or team(s) responsible for completing the action(s)
• targeted due date, and
• actual completion date.

The DROC must maintain control logs for review as part of the associated SOAR for historical purposes. Documentation of the actions taken on the log with actual completion dates will help in monitoring compliance. This documentation is part of the originating SOAR and must be discussed as part of the next scheduled SOAR.

Reference: For more information on the SOAR schedule, see M21-5, Chapter 1, Section C, 2.d.