How Does an Employer Find a Qualified SAP, and What Must It Give the Employee?

After a DOT drug and alcohol regulation violation, the employee cannot perform safety-sensitive duties for any DOT employer until completing the substance abuse professional (SAP) process (49 CFR 40.285(a)). A violation includes a verified positive drug test, an alcohol result of 0.04 or higher, a refusal (including by adulteration or substitution) or any other violation of a DOT agency's drug and alcohol prohibitions (49 CFR 40.285(b)). The employer's first duty is to point the employee toward a qualified SAP. The overall process is covered in SAPs in the return-to-duty process.

What the employer must give the employee. The employer gives each employee who violates the rules, including an applicant or new employee, a list of SAPs readily available to the employee and acceptable to the employer. The list includes names, addresses and telephone numbers. The employer may not charge a fee for compiling or providing it. The employer may prepare the list itself or have a C/TPA or other service agent provide it (49 CFR 40.287).

What makes a SAP qualified. Section 40.281 requires a SAP to meet each of the following requirements:

• Credentials. A licensed physician, a licensed or certified social worker, psychologist or employee assistance professional, a state-licensed or certified marriage and family therapist, or a drug and alcohol counselor certified by an organization listed by ODAPC (49 CFR 40.281(a)).
• Knowledge. Clinical experience in diagnosing and treating alcohol and drug disorders, plus knowledge of the SAP function, Part 40, the DOT agency rules and the DOT SAP Guidelines (49 CFR 40.281(b)).
• Qualification training and exam. Training on listed subjects, followed by an examination given by a nationally recognized professional or training organization (49 CFR 40.281(c)).
• Continuing education. At least 12 professional development hours in each three-year period after the exam (49 CFR 40.281(d)).
• Documentation. The SAP keeps records showing current qualification and provides them on request to DOT agencies and to employers and C/TPAs using or considering the SAP's services (49 CFR 40.281(e)).

Remote evaluations. A SAP performing remote evaluations must stay within the geographic limits of the SAP's credential (49 CFR 40.281(f)).

How an employer vets a SAP. Because the employer stays responsible for the qualifications of the service agents it uses (49 CFR 40.15(b)), it can ask a SAP for the documentation in 40.281(e) before adding the SAP to its list.

What the employer is not required to do. The employer is not required to provide a SAP evaluation or treatment (49 CFR 40.289(a)). Whether to offer a return to safety-sensitive duty is the employer's decision (49 CFR 40.305(b)). Payment is left to the employer, the employee and any labor agreement (49 CFR 40.289(c)). After the SAP process, the SAP's follow-up testing plan applies, and an employee assistance program may support the employee, but it does not replace the SAP.