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From the Substance Abuse Professional
Procedure Guidelines for Transportation Workplace Drug and
Alcohol Testing Programs, June, 1995
(amended by Dr. John A. Garlock, LPC, LCDC, CEAP April 13,
2001)
(Provided as a general guide only, refer to
49 CFR Part 40 {Revised Alcohol and Drug Testing Rules} as
the final authority
Definition: DOT defines a Substance Abuse
Professional (SAP) to be a licensed Physician (MD or DO);
a licensed or certified psychologist, social worker, or employee
assistance professional (CEAP); or an alcohol and drug abuse
counselor certified by the National Association Of Alcoholism
and Drug Abuse Counselors (NAADAC) Certification Commission,
of the International Certification Reciprocity Consortium/Alcohol
& other Drug Abuse (ICRC). A SAP who meets only state
certification does not necessarily meet the DOT’s criteria.
All must have knowledge of and clinical experience in the
diagnosis and treatment of substance abuse related disorders.
(Emphasis by JG).
The DOT does not certify, license, or approve individual
SAP’s. The SAP must receive qualification (See Drug
and Alcohol Testing Rule 49, CFR Part 40, Subpart o-40.281,
paragraph (C). Current SAP’s (Prior to August 1, 2001,
or who become a SAP between August 1, 2001, and December 31,
2003, must meet the qualification training requirement no
later than December 31, 2003. ( Dr. Garlock passed
the DOT Substance Abuse Qualification training and assessment
test requirements on April 24, 2003. He is now a Qualified
Substance Abuse Professional and his certification number
is 03-04-SAP019x06.) Anyone becoming a SAP on or
after January 1, 2004, must meet the qualification-training
requirement before beginning to perform SAP functions.
Reports: All signed reports that the SAP makes to the employer
should be in a letter format with the with the SAP’s
official letterhead, signed by the SAP, and should contain
the following:
1. Employee name and social security number;
2. Employer’s name and address;
3. Reason for the initial assessment (specific violation and
date);
4. Date(s) of assessment
5. SAP’s education and/or treatment recommendation;
and
6. SAP’s telephone number
Evaluation: The evaluation should provide
a face-to-face clinical assessment, treatment recommendations,
and a treatment plan to be successfully complied with prior
to the employee becoming eligible for a follow-up evaluation
and a subsequent return to safety-sensitive functions. After
a SAP evaluates an employee, the SAP must notify the employer
in writing of the findings and recommendations.
Referral: If the evaluation indicates that
the employee requires assistance with associated alcohol and/or
drug problems, the SAP refers the employee to the appropriate
treatment program. The SAP does not have to consider employee
insurance coverage, employee ability to pay for care, employer
treatment contracts, employer policies regarding the availability
of leave for employees needing assistance, and availability
of programs for the employee to potentially attend. Community
lectures and self-help groups (e.g. AA and NA) may qualify
as education but do not qualify as treatment.
SAP’s are prohibited from referring an employee to
the SAP’s private practice or to a person or an organization
from which the SAP receives renumeration or to a person or
organization in which the SAP has a financial interest.
Follow-Up Evaluation: Before an employer
can consider an employee for a return to safety-sensitive
functions, a SAP is required to re-evaluate the employee.
The employee should NOT be considered eligible
for receiving a follow-up evaluation prior to the completion
of the required education or treatment program unless the
treatment program certifies that the employee has substantially
completed the program successfully and is sober and
chemical free. The individual may not be considered for a
return to safety sensitive duty until the follow up evaluation
is performed. The SAP will meet with the employee during the
follow up evaluation session in order to discuss the treatment
or education effort, as well as return to duty and follow-up
testing issues. Based upon clinical judgment that the employee
has made sufficient progress, the SAP will provide the employer
with a recommendation and follow up testing plan. The SAP
may also make recommendations for continuing care (treatment
after care) and/or attendance in 12 step meetings and contact
with their sponsor. Who will actually monitor the care is
up to the arrangements made between the SAP and the employer.
The final decision as to when the employee may return to duty
is made by the employer after the receipt of the notification
of the SAP in the return to work evaluation forms that are
sent to the employer.
Or, believing that the individual has not demonstrated successful
compliance with the treatment recommendation; the SAP will
so document in a letter to the employer, non-satisfactory
compliance with the treatment process. The SAP may re-evaluate
at a later date. The employer will not return the employee
to regulated DOT covered duties until the SAP provides in
writing a report of satisfactory compliance and completion
of the original recommendations for education or testing.
In addition to the format described in “Reports”
above, the notification to the employer should include the
following:
- Brief synopsis of the rehabilitation plan;
- Name of practice or program providing the treatment;
- Inclusive dates of employee’s treatment program;
- Clinical characterization of the employee’s participation
in the treatment program;
- SAP’s clinical determination as to the employee’s
demonstration of successful compliance and completion of
the treatment program.
Follow-Up Testing: The SAP must present
the employer and the employee with a plan for follow-up testing.
The SAP can re-evaluate the plan and terminate the plan at
any time following the completion of the minimum required
six tests during the first 12 months after the employee returns
to work. Testing can be spread out throughout this first year,
and is random and unannounced. An employee’s follow
up testing can last for up to 60 months but may also just
include the initial first year after the employees’
return to work. The employer is responsible for ensuring that
an individual is tested according to plan. This follow-up
testing requirement is in addition to any tests accomplished
through the employer’s random testing plan.
Release Of Information: The SAP will need
to be able to receive or to communicate pertinent information
regarding the employee’s evaluation and treatment progress.
For confidentiality considerations, the SAP needs to obtain
from the employee specific releases authorizing disclosure
of information. Exceptions to confidentiality primarily occur
if the client poses a clear and imminent danger to self or
to others, if there is known or suspected child abuse or neglect,
when medical records are ordered by a judge compelling disclosure
or when the counselor seeks medical or legal consultation
in the case. Client record information can be released to
DOT for audit and review purposes in accordance with federal
disclosure rules.
Record Keeping: Records pertaining to a
determination made by a SAP concerning an employee’s
need for assistance and records concerning an employee’s
ability to demonstrate successful compliance with recommendations
of the SAP need to be maintained for a period of five years.
Records should be maintained in limited access areas that
permit no unauthorized entry. They should also be kept under
lock and key with only individuals who require the access
to the record having an access to the records.
This information is provided to you by Dr. John Garlock
who is a Qualified Substance Abuse Professional. His Qualification
# is 03-04-SAP019x06. He is available to provide SAP services
upon request. His telephone number is (281) 444-2678. Call
him today! |
