Question 1

Am I required to refer applicant who test positive to a SAP?

Accepted Answer

If an applicant for a safety-sensitive position tests positive, DOT regulations require you to refer the applicant to a SAP.

Question 2

What are the consequences if an employer fails to provide SAP referrals to employees and applicants?

Accepted Answer

Under DOT regulation 49 CFR Part 40, organizations with safety-sensitive employees must provide referrals to a Substance Abuse Professional (SAP). If an employee or applicant tests positive during random, pre-employment, reasonable suspicion, or post-accident drug tests, an employer must provide referrals to a Substance Abuse Professional (SAP). Failing to comply with this requirement can result in significant fines from the Department of Transportation (DOT).

Question 3

Is it mandatory to fire an employee who tests positive?

Accepted Answer

No, it is not mandatory to fire an employee who tests positive. The decision to dismiss an employee is determined by the organization's internal policies. There are no federal laws requiring termination for a positive or non-negative test result in a safety-sensitive role.

Question 4

What is an EAP?

Accepted Answer

An Employee Assistance Program (EAP) is a workplace benefit designed to support employees with personal and professional challenges that may affect their work performance. These programs often provide access to counseling services, mental health resources, and financial advice, helping employees cope with issues such as stress, relationship difficulties, or substance abuse. By promoting overall well-being, EAPs aim to create a healthier work environment and improve employee productivity.

Question 5

Can EAPs provide DOT SAP services?

Accepted Answer

Employee Assistance Programs (EAPs) can provide a variety of services, including support for mental health and substance use issues. However, when it comes to Department of Transportation (DOT) Substance Abuse Professional (SAP) services, it’s important to note that not all EAPs have the necessary qualifications or certifications to offer these specific services.

DOT SAP services are designed for individuals who have violated DOT drug and alcohol regulations and require evaluation and treatment recommendations. These professionals must meet specific criteria set by the DOT and are typically trained to handle cases related to compliance with federal regulations.

If an EAP is equipped with certified SAPs, it can offer these services; otherwise, individuals may need to seek services from professionals or organizations specifically designated as DOT SAPs. It’s advisable to verify the EAP's credentials and those of the professionals associated with it to ensure they can provide the necessary services in accordance with DOT regulations.

Question 6

How long is a DOT SAP program from start to finish?

Accepted Answer

The duration of a DOT SAP (Substance Abuse Professional) program can vary based on individual circumstances, but it generally consists of several key steps that can take a few weeks to a few months to complete.

1. Initial Evaluation: This typically happens within the first week after a positive drug test. The SAP conducts an evaluation to assess the individual’s substance use and recommends a treatment plan.

2. Treatment: If treatment is required, it can take anywhere from a few weeks to several months, depending on the program's intensity and the individual’s needs.

3. Follow-Up Evaluation: After completing the treatment program, the individual must undergo a follow-up evaluation with the SAP to determine if they are ready to return to safety-sensitive duties.

4. Return-to-Duty Testing: Once the SAP provides a return-to-duty recommendation, the individual must pass a drug test before resuming their job.

Question 7

Is the employer obligated to cover the costs of the DOT SAP program for the employee?

Accepted Answer

The employer is typically not required to cover the costs associated with the Department of Transportation's Substance Abuse Professional (DOT SAP) program for the employee. However, it’s often good practice for employers to cover these costs, especially if the employee is required to participate due to a DOT regulation violation. It's advisable for both employees and employers to review their specific policies and collective bargaining agreements, or to seek legal advice, to clarify obligations regarding payment for such programs.

Question 8

May employees or employers seek a second SAP evaluation if they disagree with the first SAP's recommendations?

Accepted Answer

(a) As an employee with a DOT drug and alcohol regulation violation, when you have been evaluated by a SAP, you must not seek a second SAP's evaluation in order to obtain another recommendation.
 
(b) As an employer, you must not seek a second SAP's evaluation if the employee has already been evaluated by a qualified SAP. If the employee, contrary to paragraph (a) of this section, has obtained a second SAP evaluation, as an employer you may not rely on it for any purpose under this part.

Source: DOT Rule 49 CFR Part 40 Section 40.295 (https://www.transportation.gov/odapc/part40/40-295#:~:text=%C2%A7%2040.295%20May%20employees%20or,:%20Friday%2C%20April%2028%2C%202017)

Question 9

How can I tell if the employee is adhering to SAP's recommendations?

Accepted Answer

The DOT Qualified SAP will closely monitor the employee's progress throughout the treatment plan to ensure they are adhering to the necessary steps for recovery. This includes regular check-ins, assessments of the employee's adherence to the treatment regimen, and any necessary adjustments to the plan based on their progress. The SAP plays a crucial role in providing support and guidance, helping the employee navigate the challenges of their recovery while ensuring compliance with DOT regulations. Regular communication between the employee and the treatment provider is essential to achieving a successful outcome.

Question 10

Who decides when an employee can return to work after a substance abuse issue?

Accepted Answer

A DOT Qualified Substance Abuse Professional (SAP) decides when an employee can return to work after a substance abuse issue. The SAP evaluates the employee's treatment progress and follow-up care. Once the SAP determines the employee meets the necessary criteria, they provide a written recommendation for the employee to return to work. The employee must also complete any required follow-up testing as part of the return-to-duty process. The primary goal is to ensure workplace safety.

Question 11

What responsibilities does an employer have when it comes to follow-up testing?

Accepted Answer

(a) As the employer, you must carry out the SAP's follow-up testing requirements. You may not allow the employee to continue to perform safety-sensitive functions unless follow-up testing is conducted as directed by the SAP.
 
(b) You should schedule follow-up tests on dates of your own choosing, but you must ensure that the tests are unannounced with no discernable pattern as to their timing, and that the employee is given no advance notice.
 
(c) You cannot substitute any other tests (e.g., those carried out under the random testing program) conducted on the employee for this follow-up testing requirement.
 
(d) You cannot count a follow-up test that has been cancelled as a completed test. A cancelled follow-up test must be recollected.

Source: DOT Rule 49 CFR Part 40 Section 40.309 (https://www.transportation.gov/odapc/part40/40-309)

Question 12

Who is responsible for entering violation information into the FMCSA Clearinghouse?

Accepted Answer

The individuals below must report the following information:

• Employers, or consortia/third-party administrators (C/TPAs) acting on behalf of an employer, enter drug and alcohol program violation information into the Clearinghouse.
 • Medical review officers (MROs) enter drug violation information. The driver does not need to be registered in the Clearinghouse for a violation to be added to their Clearinghouse record.
 • Substance abuse professionals (SAPs) enter the date of initial SAP assessment and date the driver is eligible for RTD testing.
 • Employers enter the negative RTD test result(s) and the date the driver’s follow-up testing plan has been successfully completed.

Source: Part 382 (https://www.ecfr.gov/current/title-49/part-382)

Question 13

Do supervisors of transportation companies have to take training?

Accepted Answer

382.603 Training for supervisors.

Each employer shall ensure that all persons designated to supervise drivers receive at least 60 minutes of training on alcohol misuse and receive at least an additional 60 minutes of training on controlled substances use. The training will be used by the supervisors to determine whether reasonable suspicion exists to require a driver to undergo testing under § 382.307.(https://www.ecfr.gov/current/title-49/section-382.307) The training shall include the physical, behavioral, speech, and performance indicators of probable alcohol misuse and use of controlled substances. Recurrent training for supervisory personnel is not required.

Source: https://www.ecfr.gov/current/title-49/section-382.603 (https://www.ecfr.gov/current/title-49/section-382.603)

Question 14

What information must employers enter into the Clearinghouse?

Accepted Answer

Employers are required to report violations related to drug and alcohol programs to the Clearinghouse, as outlined in § 382.705(b). This includes instances of positive test results, refusals, and the completion of the return-to-duty process. When reporting, employers must provide specific details such as the driver's information, the date of the violation or the return-to-duty completion, and the type of violation (like a positive test result or refusal).

Drug and Alcohol Violations:

• Positive Test Results: This includes any confirmed positive result for drugs or an alcohol concentration level of 0.04 or higher.
 • Refusal to Test: Occurs when a driver declines to undergo a DOT drug or alcohol test.
 • Knowledge of Use: This refers to when an employer learns that a driver has been using alcohol or a controlled substance in breach of Part 382, Subpart B. Knowledge can come from direct observation, the driver's own admissions, or a DUI/DWI citation.

Required Information for Reporting Violations:

• Driver's name, date of birth, CDL number, and issuing state
 • Employer's name, address, and USDOT number (if applicable)
 • Date when the employer became aware of the violation
 • Names of any witnesses to the violation
 • Description of the violation
 • Any supporting evidence
 • Confirmation that the employer has informed the driver of the reported details

Return-to-Duty (RTD) Information:

• Negative RTD Test Results: The date when a negative RTD test result is received for a drug or alcohol test.
 • Follow-Up Testing: The date a driver completes all follow-up tests as mandated by a Substance Abuse Professional (SAP).

Reporting Timeline:

• Employers are required to report any violations by the end of the third business day after gaining actual knowledge of the incident.

Question 15

What should I do if my employee's CDL has been downgraded?

Accepted Answer

The initial step is to change the Clearinghouse status from "prohibited" to "not prohibited." To achieve this, the driver needs to successfully complete the return-to-duty (RTD) process outlined in 49 CFR part 40, subpart O. Once the driver has finished the RTD process and the employer updates the Clearinghouse status to "not prohibited" following a negative RTD test result, the State Driver Licensing Agency (SDLA) will permit the reinstatement of commercial driving privileges.

Source: Subpart O - Substance Abuse Professionals and the Return-to-Duty Process (https://www.ecfr.gov/current/title-49/part-40/subpart-O)

Question 16

What occurs with the SAP's testing plan recommendation if an employee is absent from work for an extended duration or if they change jobs?

Accepted Answer

The follow-up testing plan will be paused until the employee resumes their DOT safety-sensitive job functions. According to 40.307, the SAP's follow-up testing plan remains applicable to the employee even if they change employers or experience service gaps.

Source: DOT Rule 49 CFR Part 40 Section 40.307 (https://www.transportation.gov/odapc/part40/40-307)

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