SOAR Format

3. Report Format

Introduction

This section contains a description of the required report format for SOARs, including

• SOAR format
• date and title
• scope of review
• review of previous recommendations
• current findings and analysis
• conclusion
• recommended improvement actions, and
• signature requirements and approval of SOARs.

Change Date

April 9, 2025

1.C.3.a. SOAR Format

DROCs must use the format discussed in this section to ensure all topics, details, and analysis are contained in the report.

Reference: For an example of the required SOAR format, see M21-5, Chapter 1, Section C, Appendix A.

1.C.3.b. Date and Title

The DROC must include the date of completion of the SOAR and the title must reflect the required SOAR topic reviewed.

Reference: For SOAR topic requirements, see M21-5, Chapter 1, Section C, 4.

1.C.3.c. Scope of Review

The scope of review must include, at minimum, a brief overview of the main topics covered, time period covered, and date of review.

Note: The DROC must explain any operational parameters to provi de context and clarity, if applicable (e.g., changes during the review period, a pilot project that took place for three months out of the six-month review period, etc.).

1.C.3.d. Review or Previous Recommendations

The DROC must restate recommendations from the last SOAR report and include actions taken to implement the previous recommendations and the impact of those actions. The DROC must document the success of the implemented recommendations in the SOAR's findings and analysis sections.

If the DROC did not implement previous recommendations, the DROC must provide an explanation of the mitigating circumstances. The previous recommendation will be continued as a current recommendation in the next SOAR, if supported by the findings and analysis.

Reference: For more information on the control log for recommendations, see M21-5, Chapter 1, Section C, 2.g.

1.C.3.e. Current Findings and Analysis

The DROC must summarize the data reviewed and provide in-depth analysis of the data in the current findings and analysis section.

All required topics and sub-topics must provide:

• current facts, findings, and data to adequately address each topic under review
• in-depth (root cause) analysis of presented facts, findings, and data, to include
• analysis comparing the DROC to another station, district, national averages, FY, other review period, etc.
• identified trends
• discussion on identified deficiencies, potential problem areas, outliers, inefficiencies, and/or identified best practices, and
• results of implemented recommendations/action items of any prior review

Important:

• Possible data and process review resources include, but are not limited to: Tableau reports, Workload and Time Reporting System, Quality Management System, M21-1 and M21-4 procedures, VBA policy or directives, and subject matter expert interviews. Applicable resources must be cited appropriately in this section of the report.
• The DROC must ensure data is collected and maintained throughout the review period so it is available for the SOAR.
• If existing data reports are not available, DROCs should use a sampling of local cases to conduct a review.
• When reviewing a process, a mere description of the process is not sufficient. The DROC must include an in-depth analysis of the process and explanation of findings and recommendations.

1.C.3.f. Conclusion

The DROC must discuss any potential issues and/or best practices in the conclusion of the SOAR.

1.C.3.g. Recommended Improvement Actions

The DROC must include recommended actions to remedy any areas of improvement identified by a SOAR in the report. The DROC must justify recommendations by the findings and analysis, which will be supported by data.

The DROC must include the following in all recommendations:

• the action to be completed
• the party responsible for completing the action
• the date the action is to be completed, and
• the evaluative criteria used to measure success.

Example: On the first of each month the Management Analyst who is responsible for updating the Workforce Information Tool (WIT) will meet with the Training Manager who is responsible for maintaining specialized processor TMS cohorts to ensure that the designations match across systems. Success will be measured by being 100% compliant with M21-5, Chapter 1, Section A.3.f following each meeting.

Reference: For more information on the control log for recommendations, see M21-5, Chapter 1, Section C, 2.g.

1.C.3.h. Signature Requirements and Approval of SOARs

The DROC must include the following signatures and approvals on each SOAR report:

• the name and title of the SOAR author,
• the date completed,
• approval signature by the DROCM or designee, and
• concurrence signature by the Director or designee.

The DROC must capture and digitally save all signatures and dates to the document.