SAP evaluations for safety-sensitive positions

49 CFR Part 40, Subpart O

Who needs a SAP evaluation?

Any employee who performs safety-sensitive functions under U.S. Department of Transportation (DOT) agency regulations, and who tests positive, refuses a test, or otherwise violates DOT drug and alcohol rules, must complete a qualified SAP evaluation before returning to those duties.

• FMCSA

  Trucking and commercial driving

• FAA

  Aviation

• FRA

  Railroads

• FTA

  Mass public transit

• USCG

  Maritime

• PHMSA

  Pipeline and hazardous materials

From violation to return to duty

The process

1. 01

   The employee registers in the FMCSA Clearinghouse if required (CDL holders) and opens the Violation Report section. Other DOT agencies have their own reporting and registration requirements, which we confirm with each employee individually.

2. 02

   The employee selects a SAP provider and supplies the positive test result or other required violation documentation — the official Medical Review Officer (MRO) report or the employer's notice showing the verified result.

3. 03

   The employee provides the Designated Employer Representative's contact information so required communication can take place.

4. 04

   After payment and completion of the intake packet, the initial SAP session is scheduled.

5. 05

   The SAP provides an Initial Report of Recommendation. The employee completes the recommended education and/or treatment and submits proof of completion. The SAP communicates with the DER as authorized.

6. 06

   The SAP records the applicable return-to-duty eligibility status in the Clearinghouse for FMCSA CDL holders. A return-to-duty test, medical-clearance update, and follow-up testing schedule may apply as part of the process.

Important things to know

• Follow-through is required within 30 days of the recommendation. If it is not followed through, it may be reported to the employer as non-compliance, and if more than 30 days pass a reassessment may be required.
• Federal law does not permit a second opinion from a different SAP. The SAP assigned to the violation is the SAP for that violation, and a case cannot be transferred to another SAP.
• Payment in full for the SAP assessment is required at the time of the initial assessment appointment, by cash, cashier's check or money order.
• Confidentiality: without a signed release, information may be communicated to the collector, the Medical Review Officer, education and treatment program personnel, and the Designated Employer Representative. Reports go to the DER. On request, case records must be made available to DOT agency representatives and to the National Transportation Safety Board in an accident investigation. Confidentiality law prohibits sending information about the employee to a new employer unless the employee authorizes it in writing.