DOT SAP Evaluation Program

What is a SAP – Substance Abuse Professional?

A Substance Abuse Professional (SAP) is a person who evaluates employees who have violated a DOT drug and alcohol regulation and conducts a substance abuse evaluation and makes recommendations concerning education, treatment, follow-up testing, and aftercare in order to return the employee to his/her work duties as soon as is safely possible. In accordance with DOT regulations, a SAP possesses knowledge and clinical experience in the diagnosis and treatment of substance abuse-related disorders and provides the following services:

• Consultation and coordination of services with the employer
• Comprehensive face-to-face assessment and clinical evaluation to determine the appropriate level of assistance
• Referral for treatment and case management
• Follow-up assessment and monitoring of compliance with recommended services
• Employee drug and alcohol education and treatment (for individuals recommended to attend education and/or treatment as a result of a SAP evaluation conducted by another SAP provider).

What is a DOT SAP Evaluation?

A DOT SAP evaluation or substance abuse evaluation is a face-to-face clinical assessment of an individual to determine what exactly they need to resolve their problems associated with alcohol or drug use. Face to face is mandatory because this may offer important physical cues vital to the evaluation process. This may include the following: tremors, needle marks, dilated pupils, exaggerated movements, yellow eyes, glazed or bloodshot eyes, lack of eye contact, a physical slowdown or hyperactivity, appearance, posture, carriage, and ability to communicate in person.

During the face to face evaluation, the SAP provider will determine whether the employee has a problem or addiction and to assess the level. This is done by gathering a myriad of information. The DOT SAP evaluation will include standardized testing, collection of information regarding history and current drug/alcohol use, mental health history, family history, social and physical health and random drug/alcohol testing. The drug and alcohol use history will include onset, duration, frequency, amount of use, substance(s) of use, and emotional and physical characteristics of use.

Attention in the DOT SAP program will be placed upon the rule violation and why the employee is being required to have the SAP evaluation.  Immediate attention must be provided to individuals that are a danger to themselves or others.  Other information that will be obtained during the evaluation is the problems with health, work, family, personal and interpersonal problems caused by use and current mental status.

Follow Up Evaluation in the DOT SAP Program

The report provided to the employer from the DOT SAP program cannot be changed by any third party and employees and employers are prohibited from seeking a second SAP evaluation in order to obtain another recommendation. Once the employee has successfully complied with all recommendations, there will be a face to face follow-up evaluation. This evaluation will determine if all recommendations have been completed and to determine if aftercare is needed and how many follow-up tests are needed.

The follow-up evaluation will provide the employer with clinically-based information so they can make a determination that the employee is ready to return to their safety-sensitive duties. This will be communicated with progress reports, a discharge summary, and personal contact between the SAP and the employer. The SAP will also communicate with the employee if they have successfully demonstrated compliance with the treatment or if they have not. Follow-up testing may also be administered in order to continue to support the recovering employee and to ensure the employer that they are maintaining an alcohol and drug-free life while performing their safety-sensitive work. The amount and frequency of testing will be based on what the SAP presents to the employer.

For more information on SAP evaluations and DOT SAP program.

A SAP is responsible for developing and directing a follow-up testing plan for employees returning to work after successful compliance in the DOT SAP program. The plan must consist of at least six unannounced tests in the first 12 months following the employee's return to safety-sensitive duties, which can last up to 60 months. The employer must ensure that the employee is tested according to the plan, conducting all follow-up tests as directly observed collections.

The SAP counselor can require an individual to be tested for both controlled substances or misusing alcohol if the employee is referred for alcohol abuse or drug use. The decision to test for both substances can be based on information gathered during the initial evaluation, consultation contacts with the treatment program, and/or the information presented during the follow-up evaluation.

Follow-up testing is directly related to a rule violation and subsequent return to safety-sensitive duty. Random tests are independent of rule violations, so they should be separated and conducted no less than six times throughout the first 12 months after the employee returns to safety-sensitive functions. The testing can be more frequent during the initial months and less frequent during the final period.

An employee's follow-up testing program should be individualized and designed to ensure that the employee is tested the appropriate number of times as directed by the SAP. Employees testing positive or refusing a test while in a follow-up testing program are subject to specific DOT rules regarding rules violations. At a minimum, the employee must be removed immediately from safety-sensitive duties and go through the entire SAP process again before returning to safety-sensitive duties.

Additional DOT SAP Services Information