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SOAR Critical Component: Collecting Medical and Educational Evidence

SOAR case managers play a central role in collecting medical evidence before submitting the complete application packet to SSA. For child SSI claims, educational records are also an essential part of the evidence collection because they contain both medical and educational evidence. In this way, when SSA completes its review for non-medical eligibility, DDS has the necessary information to make the disability determination.

Collecting Medical Evidence

DDS must consider all relevant medical and non-medical evidence to determine whether the child has a medically determinable impairment. Non-medical evidence includes school records which are vital to DDS as they provide information about how the child is functioning in school. It is important to obtain information about the child’s current school placement as well as a history of school placements, especially failed placements.

Remember the DDS examiner rarely meets the child and determinations are based solely on the medical and school evidence gathered.

Advantages of SOAR 

SOAR facilitates the gathering of medical and educational records prior to submission of the application packet to SSA. This ensures that DDS receives complete information without duplication of effort and as quickly as possible to assess whether the child’s physical and mental health problems lead to impairments that result in functional limitations affecting their home, school and community activities.
Various aspects of the SOAR model, including how to collect and submit medical evidence, must be negotiated on the local level with SSA, DDS, and community providers. Contact your SOAR State or Local Lead to find out about your community's SOAR program.

When case managers facilitate gathering of medical and school records, they can:

  • Often access medical records faster
  • Ensure that records are sent and ensure that the information is relevant and complete, including information that is often overlooked, such as progress notes
  • Make an initial assessment about the available information
    • Does it substantiate the health problems? 
    • Does it provide documentation of functional limitations?
    • What information is missing, what needs clarification, and what needs further development? 
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The parent or caregiver can be a great help with gathering medical and school records. Consult with them about the records they may have available at home or may be conveniently obtained. Talk to the parent about the information they may have with them, or be able to easily follow-up with the school. Engaging the parent/caregiver in evidence collection empowers them, and may expedite collection because of their active participation.

Representative Responsibilities in Collecting Medical and Educational Evidence

In addition to the advantages above, when a SOAR provider serves as the applicant’s Appointed Representative using the SSA-1696, their duties as a representative include assisting the applicant in gathering and submitting medical evidence to DDS.

  • The Representative Rules of Conduct states that a representative must promptly obtain and submit information and evidence to DDS.
  • Representatives should make good faith efforts to obtain medical evidence, but if they are unable to do so (e.g., the medical center does not respond to the request or charges a fee that the provider cannot pay), then the representative can inform DDS about the evidence and DDS will reach out to the medical provider.

Five Steps for Collecting Medical Evidence

These steps can greatly enhance the process of collecting medical evidence, making it faster, more complete, and more targeted to the disability determination process. Use these steps as you begin engaging with the child and/or parent/caregiver to gather supporting evidence and documentation for the SSI application.

1. Make List of Treating Sources

Make a list of the places where the person received treatment.

  • Use the Disability Report and additional contacts.

  • Identify what information might be acquired from each source, (e.g., pediatricians, residential care facilities, behavioral health providers, specialists, schools).
  • Parents/caregivers may have difficulty recalling all of their child’s treatment history, so be creative in identifying potential sources of information.
  • Maintain a spreadsheet of the commonly used facilities and instructions for requesting their records – this may be handy for future applications.

2. Obtain Releases for Medical Information

Have the parents/caregivers sign two releases for each treating source.

3. Send Releases to Medical Records Departments

If acceptable, fax or hand deliver releases for medical information to providers.

  • Contact current and past providers to explain the critical importance of obtaining complete information.
  • Prepare “request packets” that include a Medical Records Request Cover Letter (see a sample) and the two releases.
  • Confirm receipt of fax or delivery, if mailed.
  • Specify the type of information needed.
  • Ask what you can do to facilitate quick receipt of records.


Utilize the SOAR tool: Medical Records Tracking Worksheet to stay organized!

4. Offer Assistance to Medical Records Departments

Case managers can collaborate with medical records department directors to coordinate the information collection process. Offer assistance to alleviate the burden for busy medical records staff:

  • Offer to review records; this ensures that all relevant information is copied.
  • Offer to make the copies or bring paper for records to be copied on.
  • Offer to pick up the records at a designated place and time.
  • Say “hi,” even when no requests are pending.
  • Remind staff how critical they are in process.
  • Bring flowers, candy, brownies, etc. to show your appreciation.
  • Report to higher-ups that staff help the agency receive more Medicaid dollars.

5. Follow up Weekly on Information Not Received

Follow up on records collection on a weekly basis until all information is received.

  • Continue to identify new sources of information (new sources may be identified or recalled; new problems may arise that need treatment).
  • Maintain ongoing and regular contact with DDS.
  • Pass new information on to DDS.
  • Inform DDS of sources that did not send information so that DDS can follow up.
For more information about HIPAA regulations and releasing a minor child's medical records, view these fact sheets from the U.S. Department of Health and Human Services.

Fees for Obtaining Medical Records

Building relationships with medical records departments also helps SOAR providers arrange fee waivers and obtain records free-of-charge.

  • Meet with the medical records department manager or billing supervisor. Make sure you are speaking with someone who has the authority to waive fees.
  • Explain that the records are for an individual who is experiencing homelessness, has no income and needs the records to apply for disability benefits; ask that the fees be waived.
  • Remind them that when the individual is approved for benefits, the facility could be reimbursed for services provided.

Organize and Review Records

Organize records chronologically.

  • Place the most recent records on top.
  • Note what is missing and what needs clarification.
  • Get assistance from a supervisor, the individual’s treatment provider, or a consultant (if needed); make sure to have releases for any reviewers.
  • Incorporate all information in the Medical Summary Report.