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 – –

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 SAPLIST.com ers/

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