What to Look for in a Substance Abuse Professional (SAP) That Meets the Requirements of the Department of Transportation
| Definition: DOT defines a Substance Abuse Professional (SAP) to be a licensed physician (MD or DO); a licensed or certified psychologist, social worker, or employee assistance professional; or an alcohol and drug abuse consoler certified by the National Association of Alcoholism and Drug Abuse Counselors (NAADAC) Certification Commission, or the International Certification Reciprocity Consortium/Alcohol & other Drug Abuse (ICRC). A SAP who meets only state certification does not necessarily meet DOT's criteria. All must have knowledge of and clinical experience in the diagnosis and treatment of substance abuse-related disorders. |
| The DOT does not certify, license or approve individual SAPs. The SAP must receive qualification training (see Drug and Alcohol Testing Rule 49, CFR Part 40, Subpart 0-40.281, paragraph c). Current SAPs (prior to August 1, 2001 or become a SAP between August 1, 2001, and December 31, 2003), must meet the qualification-training requirement no later than December 31, 2003. Anyone becoming a SAP on or after January 1, 2004, must meet the qualification-training requirement before beginning to perform SAP functions. |
Reports: All reports the SAP makes to the employer
should be in letter format with the SAP's official letterhead, signed by the SAP, and
should contain the following:
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| Evaluation: The evaluation should provide a face-to-face clinical assessment, treatment recommendations, and a treatment plan to be successfully complied with prior to the employee becoming eligible for follow-up evaluation and subsequent return to safety-sensitive functions. After a SAP evaluates an employee the SAP must notify the employer in writing of the findings and recommendations. |
| Referral: If the evaluation indicates the employee requires assistance with associated drug or alcohol problems, the SAP refers the employee to the appropriate treatment program. The SAP should consider employee insurance coverage, employee ability to pay for care, employer treatment contracts, employer policies regarding availability of leave for employees needing assistance, and availability of programs. Community lectures and self-help groups (e.g., AA and NA) may qualify as education but do not qualify as treatment. |
| SAPs are prohibited from referring an employee to the SAP's private practice or to a person or organization in 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 re-evaluate
the employee. The employee should not be considered eligible for
receiving a follow-up evaluation prior to completion of the required education, an
inpatient or partial inpatient/day-treatment program. Furnished with information
from the treatment or education program that the employee has made sufficient progress,
the SAP will meet with the employee to discuss the treatment or education 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 a follow-up testing plan. The SAP may make recommendations for
continuing care is up to the arrangements made between the SAP and the Employer. Or, believing the individual has not demonstrated successful compliance with the treatment recommendation; the SAP will so document in a letter to the employer, non-satisfactory compliance with the treatment process. The SAP may reevaluate at a later date. The employer will not return the employee to regulated duties until the SAP provides in writing a report of satisfactory compliance and completion of recommended treatment or education. In addition to the format described in "Reports" above, the notification to the employer should include:
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| 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. 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 employer'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. Exceptions to confidentiality primarily occur if the client poses a clear and imminent danger to self or others, if there is known or suspected child abuse or neglect, when medical records are court ordered by a judge compelling disclosure, or when the counselor seeks medical or legal consultation. Client record information can also be released to DOT for audit and review purposes in accordance with federal disclosure rules. |
| 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 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. |
| Print out, complete and forward a SAP Certification Form |