SAP list: What are the motor carrier’s obligations?
The first — and possibly the most important — step for a driver following a DOT drug or alcohol violation is an evaluation by a qualified substance abuse professional (SAP).
What transpires between the driver and SAP sets the stage for treatment and follow-up testing. The role of the motor carrier is an important part of this process.
What’s the motor carrier’s role?
Motor carriers must provide drivers with a list of SAPs following a DOT drug and alcohol violation. This requirement even applies for driver applicants who fail a pre-employment test and are not hired.
Events when the carrier must provide an SAP list include:
- Alcohol tests of .04 or greater;
- Positive, adulterated, or substituted drug test results;
- Refusals to test; and
- The employer’s actual knowledge.
The regulations do not specify a deadline to provide the list. Most carriers present the list shortly after learning of a violation. The carrier can provide the SAP list directly to the driver or through a service agent (e.g., consortium/third-party administrator).
What is on an SAP list?
The carrier must provide an SAP list that is “acceptable” to them. What does this mean? This judgment call is not explained anywhere in the regulations. It may mean that carriers must show due diligence in assembling a list of DOT-qualified names.
The minimum data elements for the list include the SAP’s:
- Name,
- Address, and
- Telephone number.
A best practice is to provide the driver with additional details, such as facility, business hours, and SAP credentials.
The number of names would be at the carrier’s discretion, since 40.287 only uses a plural (names). Carriers with locations spread throughout the country or region should consider the driver’s home address when assembling a list. This means that a stock SAP list may not work.
How the motor carrier presents the information is personal preference (company letter head, form letter, or minimum data elements). Carriers often cite 40.287 on the document to assist drivers in understanding why they are receiving the list.
In the event of a DOT audit, the carrier will want to show it gave the driver an SAP list. The regulations do not require documentation of the distribution. But many carriers keep a record of the form, including:
- SAP data elements;
- Method of delivery (in person, mail, email or text attachment, fax);
- Date provided; and
- Signature of the motor carrier representative.
This information is often stored with the drug or alcohol test result, documented refusal to test, or recorded actual knowledge and kept for five years.
Who can be an SAP?
Not every drug-and-alcohol counselor or Employee Assistance Program qualifies for a list of SAPs. Only DOT-certified professionals can evaluate a driver and prescribe education and/or treatment.
An individual must have certain credentials, knowledge, training, and continuing education to function as an SAP. It is up to the motor carrier to check the credentials of those they put on the list. This may entail making phone calls to facilities and asking the right questions. Another option is to use DOT SAP association lists to find names. If someone no longer qualifies, the carrier must remove the name from the list they provide to drivers.
Key to remember: An accurate list of SAPs helps drivers begin the process of getting back to a safety-sensitive position. The burden of providing and assembling the list is placed on the motor carrier.