The Substance Abuse Professional Guidelines United States Department of Transportation Office of Drug and Alcohol Polic

1. The Substance Abuse Professional Guidelines United States Department of Transportation Office of Drug and Alcohol Policy and Compliance Revised November 2006

2. SAP Portfolio Documentation • Credentials • Knowledge • Training • Examination • ContinuingEducation

3. Credentials • Physician • Social Worker • Psychologist • LEAP or CEAP • LMFT • NAADAC or ICRC Certified/Licensed • NBCC

4. Knowledge • You must have knowledge of and clinical experience in the diagnosis and treatment of substance abuse-related disorders. • How the SAP role relates to the special responsibilities employers have for ensuring the safety of the traveling public • Be informed about Part 40, pertinent DOT agency regulations, these SAP guidelines, and any significant changes to them • Degrees are not enough

5. Training • The qualification training • Must include the nine required components laid out in Section 281(c) of Part 40.

6. Examination • Following Qualification Training • All nine elements required in training must be comprehensively tested • Test must be independently validated

7. Continuing Education • During each three-year period following satisfactory completion of your training and examination, you must complete at least 12 professional development hours (e.g., Continuing Education Units) relevant to your performing SAP duties

8. The SAP’s Responsibilities • Comprehensive face-to-face assessment. • Clinical evaluation to determine level of assistance the employee needs in resolving problems associated with alcohol use or prohibited drug use. • Recommend a course of education and/or treatment with which the employee must demonstrate successful compliance prior to returning to DOT safety-sensitive duty.

9. Treatment Recommendations • 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 fide drug and alcohol education courses, self-help groups, and community lectures. • ASAM Criteria

10. The SAP’s Responsibilities continued • Serve as a referral source to assist the employee's entry into an acceptable program • As a SAP, you should have a working knowledge of quality programs and qualified counselors as well as insurance, benefit plans, and payment requirements. • Don’t forget self-help groups

11. The SAP’s Responsibilities continued • Provide a face-to-face follow-up evaluation with the employee to determine if the individual has demonstrated successful compliance with recommendations • Develop and direct a follow-up testing plan for the employee returning to work following successful compliance • Define aftercare when appropriate

12. The SAP’s Responsibilities continued • Provide reports to DER indicating whether or not the employee has successfully complied with the treatment recommendations • If Employee has complied, the return to duty process may begin • If Employee has not complied, employer may not return employee to safety sensitive duties • Further follow-up evaluations may be scheduled

13. SAP DUTIESTHE FOLLOW-UP TESTING PROCESS Minimumtesting requirement is 6 tests during first year Spread out Unpredictable Maximum time is 5 years

14. SAP DUTIESRELEASE OF INFORMATION HIPAA and 42 CFR do not apply All service agents and those involved in the drug testing process may communicate with each other Employee may have copies of reports to DER with testing schedule redacted

15. SAP DUTIESRECORD MAINTENANCE SAPs need to maintain copies of reports to employers for 5 years, All records should be maintained in limited access areas that permit no unauthorized entry