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Fundamentals of the DOT/SAP Process

Fundamentals of the DOT/SAP Process. December, 2007. Agenda. 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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Fundamentals of the DOT/SAP Process

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  1. Fundamentals of the DOT/SAP Process December, 2007

  2. Agenda • 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/

  3. 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.

  4. DOT - Six Operating Administrations • 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

  5. 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

  6. SAP Services • 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

  7. SAP Qualifications • 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

  8. 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

  9. Advantages to using ASAP • Consistent and timely response • Credentialed Network of SAP Providers • Record-keeping in compliance with DOT expectations • Client Audits

  10. Finding a SAP • ASAP • Confirming Other Resources • Documentation of SAP training • Documentation of SAP testing • Documentation of credential • Negotiating a rate • Billing to client company

  11. Role of EAP after SAP process is completed • Monitoring cases after return to work • Aftercare and follow up • Coordination with company • Employer-specific policies

  12. Web Resources • http://www.dot.gov/ost/dapc/ • SAPLIST.com • http://naadac.org/ • http://www.eapassn.org/public/providers/

  13. ValueOptions resources • Policies - H403, Referrals Involving Violation of DOT Drug and Alcohol Regulations - H404, American Substance Abuse Professionals, Inc. (ASAP) Referral, Billing and Reimbursement • ASAP information on StaffConnect

  14. Summary & Questions

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