SAP/DOT

Monica Arroyo is an approved Substance Abuse Professional as required by the Department of Transportation as referenced in the Federal Register (Part 40).

What is a SAP?
The Department of Transportation (DOT) regulations defines a SAP or Substance Abuse Professional as a person who evaluates employees who have violated a DOT drug and alcohol regulation and makes recommendations concerning education, treatment, follow-up testing and aftercare.

Who can provide a SAP evaluation?
The SAP evaluation can only be provided by a Substance Abuse Professional who has at least one of the following credentials:

A licensed physician; or a licensed or certified social worker; or a licensed or certified psychologist; or a licensed or Certified Employee Assistance Professional (CEAP); or an Alcoholism and Drug Abuse Counselor certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission (NAADAC) or by the International Certification Reciprocity Consortium/Alcohol and Other Drug Abuse (ICRC).

The SAP evaluator must also have knowledge of and clinical experience in the diagnosis and treatment of substance abuse related disorders. In addition, the SAP evaluator must have an understanding of how the SAP role relates to the special responsibilities employers have for ensuring the safety of the traveling public, and have received the recognized qualification training as referenced to in the Federal Register (Part 40).

Who will need a SAP evaluation completed?
Any DOT regulated employee who violates the DOT drug and alcohol regulations (i.e. fails a random urinalysis or breathalyzer test, refuses testing, or is found in non-compliance of the drug and alcohol regulations or have violated other provisions of the DOT rules).

What is initially required of an employer when an employee violates a DOT alcohol and drug regulation?
The employer must provide a list of qualified SAPs that are readily available to the employee who has violated a DOT alcohol and drug regulation. It is the responsibility of the employer to ensure the qualifications of the SAP evaluator, and to monitor the employee as he continues with any and all follow-up recommendations and services. The employer is required to maintain a random testing policy, and separate random testing when required by an evaluation of someone that has violated one or more of the DOT alcohol and drug regulations.

What are the requirements of the employee?
In order for the employee to be considered for return to duty status or to obtain work in a safety sensitive job with another employer, the employee must comply with the evaluation process and follow all recommendations including, but not limited to, the SAP follow-up recommendations.

What are the functions of the MRO?
The Medical Review Officer (MRO) has the responsibility of reviewing all tests and maintaining communications with the SAP as the SAP finds necessary to complete a comprehensive evaluation and develop a follow-up evaluation with recommendations.

When can an employee return to safety sensitive duties?
An employee who has violated one or more of the DOT regulations must receive a follow-up evaluation by the original SAP evaluator to be considered for return to duty status. If the evaluator finds him in compliance with the treatment recommendations and deems him appropriate for consideration for safety sensitive duty, a recommendation may be made to the employer for consideration. Only the SAP's are prohibited from referring an employee to the SAP's private practice or to a person or organization from which the SAP receives remuneration or to a person or organization in which the SAP has a financial interest.

Follow-Up Evaluation:
Before an employer can consider the employee for return to safety sensitive functions, a SAP is required to reevaluate the employee. The employee should not be considered eligible for receiving a follow-up evaluation prior to completion of an inpatient or partial inpatient/day-treatment program. Furnished with information from the treatment program that the employee has made sufficient progress, the SAP will meet with the employee to discuss the treatment effort, as well as return to duty and follow-up testing issues. Based upon clinical judgment that the employee has made sufficient progress, the SAP will provide the employer with a recommendation and follow up testing program.

Or, believing the individual has not demonstrated successful compliance with the treatment recommendations, the SAP will postpone the re-evaluation pending the employee's further compliance with the treatment plan.

In addition to the treatment described in "reports" above, the notification to the employer should include: Brief synopsis of the rehabilitation plan. Name of practice or program providing treatment Inclusive dates of the employee's treatment program. Clinical characterization of the employee's participation in the treatment program. SAP's clinical determination as to the employee's demonstration of successful compliance, Follow-up testing plan

Follow-Up Testing:
The SAP must present the employer and the employee a plan for follow up testing. The SAP can re-evaluate the plan and terminate the plan at any time following the completion of the minimum required six tests during the first 12 months (not less). Testing should be spread throughout the year, unpredictable, and unannounced. An employee's follow up testing program can last up to 60 months. The employer is responsible for ensuring that an individual is tested according to the plan. This follow up testing requirement is in addition to tests accomplished through the employee's random testing program.

Release of Information:
The SAP will need to be able to receive and communicate pertinent information regarding the employee's evaluation and treatment progress. For confidentiality considerations, the SAP needs to obtain from the employee specific releases authorizing disclosure of information.

Record Keeping:
Records pertaining to a determination by a SAP concerning an employee's need for assistance and records concerning an employee's ability to demonstrate a successful compliance with recommendations of the SAP need to be maintained for a period of five years. Records should be maintained in limited access areas that permit no unauthorized entry.

FMCSA Definitions

Covered employee:
A person who operates (i.e. drives) a Commercial Motor Vehicle (CMV) weighing 26,0001 pounds or greater, or is designed to transport 16 or more occupants (to include the driver); or is of any size and is used in the transport of hazardous materials that require the vehicle to be placarded.

Types of tests for drugs:
Pre-employment, random, reasonable suspicion, post-accident, return-to-duty, and follow-up.

Types of tests for alcohol:
Pre-employment (optional), random, reasonable suspicion, post-accident, return-to-duty, and follow-up.

Definition of accident requiring testing:
Any accident involving a fatality requires testing. Testing is also required in accidents in which a vehicle is towed from the scene or in which someone is treated medically away from the scene; and a citation is issued to the CMV driver.

Reasonable-suspicious determination:
One trained supervisor or company official can make the decision based upon specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odors of the employee.

Pre-duty alcohol use prohibitions:
Four (4) Hours prior to performance of duty.

Actions for BACs 0.02 - 0.039:
The employee cannot be returned to duty until the start of the employee's next regularly scheduled duty period, but not less than 24 hours following the test.

Employee training:
Employer must provide educational materials explaining drug and alcohol regulatory requirements and employer's policies and procedures for meeting regulation requirements. Distribution to each employee of these educational materials and the employer's policy regarding the use of drugs and alcohol is mandatory.

Supervisor training:
One-hour training is required on the specific, contemporaneous physical, behavioral, and performance indicators of probable drug use. One-hour training is required on the specific, contemporaneous physical, behavioral, and performance indicators of probable alcohol use.

Reportable employee drug and alcohol violations:
No requirements to report violations to FMCSA.

Other:
Drivers are prohibited from using alcohol for eight hours following an accident (as described above) or until they have undergone a post-accident alcohol test, whichever occurs first.