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A substance abuse professional (SAP) evaluates drivers who have violated Department of Transportation (DOT) drug and alcohol regulation. The SAP makes recommendations concerning education, treatment, follow-up testing, and aftercare.
These requirements apply to SAPs who evaluate drivers of commercial motor vehicles (CMVs) in interstate, intrastate, or foreign commerce.
An individual must have certain credentials, knowledge, and training to act as an SAP. An SAP must be a:
If an otherwise qualified SAP, the SAP must abide by the geographic limitations applicable to their credential when performing remote evaluations. They must not conduct an evaluation that exceeds your geographic limitations.
An SAP must also:
Qualification training. The SAP must receive qualification instruction on the following subjects:
Following completion of the qualification training, the SAP must pass an exam given by a nationally-recognized professional or training organization.
Continuing education. After passing the exam, the SAP is required to complete 12 professional development hours related to performing SAP functions once every three years.
SAP evaluation. A driver who has violated the DOT drug and alcohol regulations (alcohol concentration of 0.04 or greater, refusal to test, or failing a drug test) must complete the SAP evaluation, referral, and education/treatment process before the driver can again perform any safety-sensitive functions.
An employer must provide (free of charge) to a driver who has violated the DOT drug and alcohol regulations, a list of SAPs. The list must include SAP names, addresses, and telephone numbers.
An employer is not required to provide an SAP evaluation or recommended education or treatment. However, if the employer offers a driver the opportunity to return to safety-sensitive functions following a violation, the employer must make sure the driver has received an SAP evaluation and has successfully complied with the SAP’s recommendations.
The regulations do not address who should pay for an SAP evaluation. This is left to the driver and employer.
The basic responsibility of the SAP is to:
At the SAP’s discretion, the initial and follow-up evaluations may be performed face-to-face in-person or remotely. If a SAP is not prohibited from using technology within the parameters of the SAP’s state-issued license or other credential(s), a remote evaluation must be must be conducted in accordance with the following criteria:
When gathering information as part of the evaluation process, the SAP may consult with the MRO. The MRO may provide information without the driver’s consent.
The SAP is neither an advocate for the driver or the employer. The SAP’s job is to protect public interest in safety via professional evaluation and recommendation.
Seeking a second SAP evaluation is prohibited. Only the SAP may change an evaluation and recommendation. This change must be based on new or additional information.
Referral. The SAP cannot refer the driver to the SAP’s private practice or to a person or organization from which the SAP receives payment or has a financial interest.
A driver may be referred to the following providers regardless of the SAP’s relationship with them:
Follow-up evaluation — The SAP who prescribed assistance must re-evaluate the driver and determine if the driver successfully carried out the SAP’s treatment and/or education recommendations.
The SAP making the follow-up evaluation must:
If the driver has demonstrated successful compliance, the SAP must send a written report to the DER.
The SAP may determine that the driver has successfully demonstrated compliance even though the driver has not completed the treatment and/or education prescribed by the SAP, or if the driver needs additional assistance.
If the driver has not demonstrated successful compliance, the SAP must send a written report to the DER. The employer may not return the driver to safety-sensitive functions and may take action based on company policy.
If the SAP determines that the driver needs ongoing services, the SAP must provide recommendations in the follow-up evaluation report. The driver is required to comply with the SAP’s recommendations.
Return-to-duty and follow-up. In order to return to the performance of safety-sensitive functions, the driver must:
The SAP must determine the driver’s follow-up testing plan. The driver is subject to six unannounced follow-up tests in the first 12 months of safety-sensitive duty following the driver’s return to safety-sensitive functions.
The SAP may require additional follow-up tests for an additional 48 months following the first 12-month period. (A total of up to 60 months of testing.)
Record retention. SAPs must maintain documentation showing they currently meet all training/educational requirements. They must be able to provide this information on request to DOT agency representatives and to employers and consortium/third party administrators (C/TPAs) who are using or contemplating using the SAP’s services.