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Fundamentals of the
DOT/SAP Process
December, 2007
Agenda
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How DOT differs from EAP
Overview of DOT Requirements and SAP
Services (49 CFR Part 40)
SAP Qualifications
EAP and SAP Services
Finding a SAP
– ASAP
– SAPLIST.com
– http://naadac.org/
– http://www.eapassn.org/public/providers/
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Omnibus Transportation
Employee Testing Act of 1991
Requires alcohol and drug testing of safety-sensitive
employees in aviation, motor carrier, railroad and
mass-transit industries. In addition, employees
required to hold commercial driver’s licenses as
part of their jobs fall under the auspices of the
Department of Transportation (DOT) alcohol and
drug testing rules.
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DOT - Six Operating Administrations
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FMCSA – Federal Motor Carrier Safety
Administration
FAA – Federal Aviation Administration
FRA – Federal Railroad Administration
FTA – Federal Transit Administration
PHMSA – Pipeline and Hazardous Materials
Safety Administration
Coast Guard – now under Homeland Security
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DOT Requirements of Employers
Training of employees and supervisors
 Drug/alcohol testing
 Immediate removal from safety-sensitive
duties for any violation of rules
 Offer resources for SAP services
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SAP Services
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Initial evaluation of employee after violation
Recommend education or treatment
Letter to DER (Designated Employer
Representative)
Monitoring of treatment
Re-evaluation following completion of treatment to
determine if successfully completed treatment
Follow-up letter to DER, with follow-up testing
recommendations
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SAP Qualifications
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License as a physician, social worker,
psychologist, LMFT, Certified Employee
Assistance Professional, or certified drug and
alcohol counselor. (specific credential required)
Completed SAP qualification training and test
Complete 12 Continuing Education Units
(CEUs) every three years
Knowledge and experience in diagnosis and
treatment of alcohol and drug use disorders
Knowledge of DOT Guidelines and SAP
function
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EAP and SAP Services
EAP historically provided substance abuse
evaluations for employers
 This process closely mirrored current SAP
process
 Some EAPs began providing SAP services
 Soon became clear SAP services and EAP
services were not necessarily compatible in
their functions
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Advantages to using ASAP
Consistent and timely response
 Credentialed Network of SAP Providers
 Record-keeping in compliance with DOT
expectations
 Client Audits
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Finding a SAP
ASAP
 Confirming Other Resources
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– Documentation of SAP training
– Documentation of SAP testing
– Documentation of credential
Negotiating a rate
 Billing to client company
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Role of EAP after SAP process is
completed
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Monitoring cases after return to work
– Aftercare and follow up
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Coordination with company
– Employer-specific policies
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Web Resources
http://www.dot.gov/ost/dapc/
 SAPLIST.com
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 http://naadac.org/
 http://www.eapassn.org/public/provid
ers/
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ValueOptions resources
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Policies
- H403, Referrals Involving Violation of DOT Drug and
Alcohol Regulations
- H404, American Substance Abuse Professionals, Inc.
(ASAP) Referral, Billing and Reimbursement
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ASAP information on StaffConnect
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Summary & Questions
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