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As a SAP, I am required to be absolutely sure that I understand what is at stake each time I work with an employee who has violated DOT rules. Because I choose to be a SAP, I have elected to have a special relationship and bond with everyone the employee will encounter if that employee returns to the performance of safety-sensitive duties. The traveling public is made up of kids, moms, dads, boyfriends, girlfriends, wives, husbands, partners, close friends, acquaintances, strangers, co-workers, neighbors, and many others. All are riding on, literally and figuratively, the decisions I make. In my counseling work, I always view the person walking through our door as our client, and rightfully so: Now DOT is asking that I view the public as my client as well.
THE SUBSTANCE ABUSE PROFESSIONAL The Department of Transportation (DOT) regulation -- 49 CFR Part 40 -- defines the Substance Abuse Professional (SAP) as a person who evaluates employees who have violated a DOT drug and alcohol regulation and makes recommendations concerning education, treatment, follow-up testing, and aftercare. In order to be a SAP, I need to have certain credentials, possess specific knowledge, receive training, and achieve a passing score on an examination.
The primary safety objective of the DOT rules is to prevent, through deterrence and detection, alcohol and controlled substance users from performing transportation industry safety-sensitive functions. As a SAP, I am responsible for several duties important to the evaluation, referral, and treatment of employees identified through breath and urinalysis testing as being positive for alcohol and controlled substance use, or who refuse to be tested, or who have violated other provisions of the DOT rules.
My fundamental responsibility is to provide a comprehensive face-to-face assessment and clinical evaluation to determine what level of assistance the employee needs in resolving problems associated with alcohol use or prohibited drug use. Then I must recommend a course of education and/or treatment with which the employee must demonstrate successful compliance prior to returning to DOT safety-sensitive duty. Treatment recommendations can include, but are not limited to: In-patient treatment, partial in-patient treatment, out-patient treatment, education programs, and aftercare. Education recommendations can include, but are not limited to bona fied drug and alcohol education courses, self-help groups, and community lectures.
Upon the determination of the best recommendation for assistance, I will serve as a referral source to assist the employee's entry into an acceptable program. As a SAP, I have a working knowledge of quality programs and qualified counselors as well as insurance, benefit plans, and payment requirements. In addition, I, when possible, will be cognizant of the employer's policies regarding payment for treatment; on-duty-time treatment programming; and the granting of administrative, sick, and/or annual leave for both in-patient and out-patient treatment. I also make information available to the employee regarding meetings of Alcoholics Anonymous, Narcotics Anonymous, and Al-Anon, as well as other tenable self-help groups.
Prior to the employee's return to safety-sensitive duties, I am required to provide a face-to-face follow-up evaluation with the employee to determine if the individual has demonstrated successful compliance with recommendations of the initial evaluation. This evaluation must be accomplished before an employer can consider the employee for return to safety-sensitive functions. Therefore, the evaluation serves to provide the employer with assurance that the employee has made appropriate clinical progress sufficient to return to duty.
As the SAP, I also develop and direct a follow-up testing plan for the employee returning to work following successful compliance. The number and frequency of unannounced follow-up tests is directed by I, and is to consist of at least six tests in the first 12 months following the employee's return to safety-sensitive duties. If poly-substance use has been indicated, the follow-up testing plan could include testing for drugs as well as alcohol (for the alcohol rule violator) and for alcohol as well as drugs (for the drug rule violator). Follow-up testing can last up to 60 months, but can be terminated by me any time after one year (if all tests recommended up to that point are completed).
This follow-up testing requirement is in addition to tests accomplished through the employer's random testing program.
In directing the follow-up testing plan, I will specify the number and frequency of the follow-up tests. The employer would then be responsible for ensuring that the individual is tested according to the plan. Follow-up testing is an important way that the employer has to determine if the employee has stopped using controlled substances or misusing alcohol. It is important to note that the employer has the option to conduct all or some of the follow-up tests (as well as the return-to-duty test) as directly observed collections.
There are times when an employee will need continuing assistance with an alcohol or drug problem even if the employee is ready to return to work. At these times, I will provide the employee and employer with recommendations for “aftercare” – continuing education and/or treatment needed after return to safety-sensitive duties.
It is important to note that employers are not required to provide a SAP evaluation or any subsequent recommended education or treatment for an employee. However, if the employer offers the employee an opportunity to return to DOT safety-sensitive duty, the employer must ensure that the employee goes through the entire SAP return-to-duty process to include successful compliance with the SAP’s recommendations. Payment is left for employers and employees to decide and may be determined by existing management-labor agreements, employer policies, or health care benefits.
My work as a SAP is a very important part of DOT’s efforts to help make our transportation industries the safest in the world. I represent one of the professionals willing to accept a vital role in protecting public safety. The job I do as “Gatekeeper” of the return-to-duty process provides important help to the employee, the employer, and to the traveling public.
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