SAMHSA SSI/SSDI Outreach, Access and Recovery (SOAR) Technical Assistance Center February 2017

A User’s Guide to

Entering Applicant

Information

1

SOAR Online Application Tracking (OAT) User Guide

Registration New Users: To begin using OAT, please go to https://soartrack.prainc.com/ and click on “Create an

account” in the User Log-In box. Once registered this is where you will log in to OAT to enter and/or

review data.

Existing Users: You may need to update your password if when you originally created your account your

password did not meet new (as of July 2016) minimum security requirements.

Password requirements: There are a few specific requirements for passwords in OAT. Passwords must be at least 8 characters

and contain at least 3 of the following: Uppercase, Lowercase, Number, Special Character

2

Password reset procedure: On the homepage, you have the option to reset your password. Click on

“Forgot password?” and enter your email. You will receive an email from SOAR OAT with a link to follow

to reset your password. You will then receive a second email letting you know when it has been

successfully changed.

Applicant Identification (ApID) Once registered, you will be directed to the database dashboard and there, you will be able to add a new applicant to the database. You must create a unique Applicant ID using the sequence containing two letters, two numbers, two letters and four numbers. The use of this ID avoids the need for personally identifiable information and helps prevent case duplication. A suggested formula to create an ID is as follows:

First two letters of first name Last two numbers of birth year First two letters of last name Last four digits of Social Security Number

For Example: Jane Doe, born in 1985, with a social security number of 123-45-6789. ID = ja85do6789. We recommend recording the Applicant ID in the applicant’s case file for future cross-reference.

3

User Roles: There are four roles in OAT, each outlined below. Select the most appropriate one for you

at the time you register. Please note you can only choose one. Outcomes can be entered by all the roles

in OAT without multiple accounts.

State Team Lead: Directs the SOAR initiative at the state level; has access to data from all agencies in the

state. May work with applicants and enter data.

Local Lead: Oversees multiple agencies in a community, county or region; has access to data from

multiple agencies in the specified service area (e.g. CoC). May work with applicants and enter data.

Agency Lead: Oversees multiple case workers in an agency. May work with applicants and enter data,

but also has access to data from other caseworkers in the agency.

Case Worker: Works with applicants and enters data into OAT on his/her application outcomes. Has

access to his/her data only.

Agency Lead, Local Lead and State Team Lead roles must be approved by the SOAR TA Center’s

Administrator. Case Workers that are registered with existing agencies in OAT will not have to be

approved. However if the agency is not recognized in the database, the agency has to be approved first.

4

Training:

OAT users that are tracking applications are required to have completed SOAR training prior to

registering. Users can record the completion date of the SOAR Online Course, 2- day Stepping Stones to

Recovery training, 4 –day Train the Trainer program, or 3 – day Leadership Academy. Multiple training

types can be recorded.

If you are a supervisor that will be managing SOAR caseworkers but will NOT be completing applications,

you will not be required to complete SOAR training but are strongly encouraged to complete Class 1 of

the SOAR Online Course.

5

Entering Applications

Tab 1: Demographics

Questions that include an asterisk (*) require response in order to continue.

1. Gender a. You must enter either male or female. If the applicant is transgender pick the one s/he

identifies with 2. Age

a. Enter the applicant’s age at the time of application 3. Military Service

a. Enter whether or not the applicant is a Veteran of the U.S. Military b. If the applicant has military history, you will be required to answer two follow up

questions regarding military discharge status and VA Disability Compensation status at the time of the application.

4. Was this person receiving any state, county or any other public assistance? a. Enter if the applicant was receiving TANF (Temporary Assistance to Needy Families) or

any type of state or local public assistance. b. To select more than one response, hold down the shift key while selecting.

5. Was the applicant working during the application process? a. Enter whether the applicant was working during the application process. b. If the applicant is working during the application process, you will be asked to enter the

applicant’s earnings per month (in dollars). 6. Living situation at time of application

a. The first three options are for individuals who are literally experiencing homelessness.

6

b. The last four options are considered to be at-risk of homelessness. The follow up question will ask length of time homeless. Enter the length of time homeless prior to the SOAR application or entering the current (at-risk) housing situation.

c. Applications for individuals who are stably housed can be tracked using OAT. These cases are considered Non-SOAR applications and will not be included in national SOAR outcome reports and should NOT be flagged as a SOAR case when submitting the application to SSA.

Tab 2: Application Type Users will select the type of application to be submitted. The application types include:

1. Initial application using SOAR a. Case worker is starting SSA disability applications with the applicant using SOAR

2. Reconsideration using SOAR a. Case worker starts working with an applicant after s/he has been denied at the initial

application level 3. ALJ Hearing using SOAR

a. Case worker starts working with an applicant at the ALJ hearing level 4. Non-SOAR Claim

a. Applies when: 1. Applicant is not currently experiencing or at-risk of homelessness AND does not

have a mental illness, medical impairment and/or co-occurring substance use disorder

2. When NONE of the SOAR critical components were used in the application process. b. Case workers may use this section to keep track of application outcomes for Non-SOAR

claims.

7

You can change the application type without losing demographic information – all other information will

be deleted. The option to change application types is available until a decision is entered. Once the

decision is entered and saved in Tab 4, the application type is restricted and cannot be changed.

Tab 3: Application Detail

Initial Application

8

Protective Filing Date

a. Enter the date on which you or the applicant notified SSA of their intent to file. This may

have been done by faxing the SOAR consent form, calling SSA, going in to the local SSA field

office or starting the disability application online.

b. Please note that this application will appear in the individual reports if there is a protective

filing date. It will not appear in the summary report unless there is a date of decision.

SOAR Critical Components

The next few questions ask whether the SOAR critical components were completed. These are very

important to the success of applications for eligible individuals. OAT tracks whether the caseworker

completed and submitted the SSA-1696 Appointment of Representative form, collected and submitted

medical records, wrote and submitted a Medical Summary Report (MSR), the MSR was co-signed by a

physician or psychologist, and whether quality review of the application was completed prior to

submission.

a. Quality review may include a review of the application by a local SOAR trainer or a trained

colleague.

b. Quality review may also include having the Medical Summary Report reviewed by someone

at the SAMHSA SOAR TA Center.

Consultative Exam

a. A consultative examination is an exam ordered by the Disability Determination Services when there is not sufficient medical evidence in the file to make a decision based on the applicant’s alleged illnesses and conditions. b. If a Consultative exam is required, the follow up question will ask for the number of CEs

ordered for the applicant.

Application Date

a. Enter the date that the complete application packet is delivered to the local SSA field office.

This date cannot be before the protective filing date. See SOAR Application Packet Checklist

for packet contents.

Application Not Submitted

a. If a protective filing date has been established but the application has not been filed, you

can indicate the reason why. The reasons for not submitting the application include; the

applicant has: moved, disappeared, is incarcerated, withdrew, transferred to another

representative or other.

b. NOTE: If you have not submitted a completed packet to SSA but you plan to do so, do not

answer any of the information on the page. The database only allows you to save the

contents included on the entire page and does not save individual answers. Stop at

application type until you have completed all the critical components and have submitted

the packet to SSA.

c. Addressing the question: Has a complete application been submitted to SSA?

If “No” is selected, a follow up question will appear stating “Applications will not be

submitted to SSA due to” and you will be asked to select the reason why the

application was not submitted.

9

Once the “reason why the application was not submitted” is entered, the case will

be closed and archived. Archived cases can be viewed from the applications page

only and will not appear on the user’s dashboard.

Reconsideration The first question asks the date of request for reconsideration. If none, the next screen allows the

caseworker to return to the homepage or log out of OAT completely.

a. An error message will alert if the reconsideration request date is before the initial date of

decision that resulted in denial.

b. "My state doesn’t have reconsideration, filed appeal.” There are a number of states that do not

have the Reconsideration level in the Appeals process and so the first level of appeal is for an

ALJ hearing. The states and areas that do not have Reconsideration are:

Alabama, Alaska, California (Los Angeles North & WB), Colorado, Louisiana, Michigan, Missouri,

New Hampshire, New York, and Pennsylvania.

Note that the demographic information completed in Tab 1 does not have to be repeated.

The questions in the Reconsideration and ALJ Hearing section are very similar to those in the Initial Application section, explained above.

ALJ Hearing There are additional application assistance components that can be tracked for ALJ Hearings.

a. Expedited Hearing: A request made to expedite the scheduling of a hearing due to dire need.

10

b. On the Record Review: A written request asking the ALJ to make a favorable decision based on the evidence in the case record.

c. Attorney Involved: Even if the applicant had an attorney, if you collected medical records, wrote and submitted a Medical Summary Report and assisted with the application, you should still track the outcome of the application in OAT.

Tab 4 - Decision

Enter the date that SSA makes the decision. This can often be found on the letter that is mailed to the applicant and the appointed representative.

11

Decision Not Received

If a decision is not received, the case is considered as pending. The user will be directed to the dashboard. Pending cases are displayed on the user dashboard and will remain in pending status until a decision is entered for that application.

Outcome of Decision

Approval

If the application is approved, the follow up questions are:

For both SSI/SSDI, for SSI only or for SSDI only

Was a representative payee needed? o If yes, was a referral/connection provided or not. You do not have to be the one that

serves as the representative payee!

Denial

If the application is denied, the case manager will be asked for the reason for the denial from the SSA letter. Response options are:

Earning SGA (Substantial Gainful Activity), i.e. monthly earnings over $1,130/month (in 2016)

No significant impairment (DDS acknowledges that the person has been diagnosed with illnesses or conditions but that those conditions are not severe enough for their disability programs)

Ability to do past work (Based on the individual’s work history, DDS determined that the person can do work that they used to do)

Ability to do other work (Based on the individual’s residual functional capacity, DDS determined that the person can do other work available in the local or regional economy)

Substance use is material (This means that DDS determined that the person would not be disabled if they were clean and sober)

Duration requirements (This means the illness or condition has not lasted or is not expected to last 12 months or more or result in death)

Failure to cooperate (This means that SSA or DDS requested additional information either via a form or by scheduling a Consultative Exam (CE) and the applicant or representative did not provide the required information for DDS to make an informed decision)

Non-medical (This could be due to excess income or resources, not enough work credits, living arrangement, or others)

Unknown Users are directed to the Applicant Overview page once an outcome is entered.

12

Tab 5: Post Decision

13

This section is optional and appears when an application has been approved at any level of adjudication (initial, reconsideration or ALJ). This information can be very helpful in sustaining SOAR initiatives both on the local and state levels. There is a separate report that OAT generates on these data. You do not have to respond to these questions. If you click “save and continue” at the bottom of the screen it will take you to the final screen where you can either go back to the homepage or log out. Medicaid/Medicare reimbursement: Contact your local hospitals or healthcare providers to get this information. With the proper release you can often get this information from the billing department. Providers can bill Medicaid retroactive up to 90 days prior to the date of the SSI application. Enter the amount received. General or Public Assistance: Contact the state, local or county agency that provides general or public assistance, if available in your state. Again you’ll need a proper release from the applicant. Employment Information: If the applicant was working either during the application process or started working post-decision, even if only for a few hours, please indicate that and his/her earnings from that employment. Award Amounts: When your applicant receives his/her approval, please enter the award amount and any retroactive back payments received. Hours to Complete Claim: As part of quality review and potential retraining, it is important to know how many hours it takes case workers to complete each claim.

If you have any questions about using SOAR OAT, please contact the SOAR TA Center at soaroat@prainc.com.