When to Call a Substance Abuse Professional: A Guide for DOT Covered Employers
- willrothconsulting
- 2 days ago
- 5 min read
DOT regulated employers often ask the same question after a drug or alcohol violation occurs:
When do we call a Substance Abuse Professional?
The answer is clear. A Substance Abuse Professional, commonly referred to as a SAP, is required after a DOT drug or alcohol violation before a safety sensitive employee may return to regulated duties. What is less understood is that employers and Designated Employer Representatives also have specific regulatory responsibilities at this stage of the process.
This guide explains when a SAP is required, what the SAP role includes and excludes, and what employers are required to do under federal regulation to remain compliant.
When a SAP Is Required?
Under 49 CFR Part 40, a SAP is required after a DOT drug or alcohol violation. Violations include, but are not limited to:
A verified positive DOT drug test
A DOT alcohol test result of 0.04 or higher
A refusal to submit to testing (including by adulterating or substituting a specimen)
Or any other violation of the prohibition on the use of alcohol or drugs under a DOT agency regulation constitutes a DOT drug and alcohol regulation violation.
Once a violation occurs, the employee must be immediately removed from safety sensitive functions. The employee may not return to regulated duties until the Return to Duty process is completed in full.
Employers do not determine Return to Duty eligibility. That determination occurs through a federally required process that begins with a SAP evaluation.
Employer Responsibility to Provide a List of Qualified SAPs
DOT regulations place a specific obligation on employers once a violation occurs.
49 CFR Part 40 §40.287 states:
“As an employer, you must provide employees with a list of SAPs qualified under §40.281.”
This requirement is mandatory. Employers are responsible for providing the employee with a list of qualified SAPs so the federally required process can begin without delay.
This responsibility exists even if:
The employee says they already have a SAP
A treatment provider recommends someone
The employer believes the employee can locate a SAP independently
What §40.281 Means for Employers
Under 49 CFR Part 40 §40.281, a qualified SAP must meet specific requirements, including:
Holding appropriate credentials or licensure
Completing DOT required SAP training
Maintaining required continuing education
Practicing within the scope of their professional license
Not every counselor, therapist, or treatment provider meets these requirements. Employers are responsible for ensuring that the SAPs on their list are actually qualified under federal regulation.
Compliance Risk for Failure to Provide a SAP List
DOT regulations are explicit about employer accountability.
49 CFR Part 40 §40.287 further provides:
“Your failure to provide such a list could result in sanctions issued by the DOT Modal Administration with jurisdiction over you.”
Failure to provide a list of qualified SAPs can expose an employer to enforcement action, regardless of intent. Documentation and timely action matter.
What a SAP Does
According to the U.S. Department of Transportation Office of Drug & Alcohol Policy & Compliance, a Substance Abuse Professional (SAP) is a person who evaluates employees who have violated a DOT alcohol and drug program regulation and makes recommendations concerning education, treatment, follow-up testing, and aftercare. independent evaluator whose role is clearly defined under federal regulation.
A SAP is responsible for:
Conducting a face to face or remote face to face evaluation
Determining appropriate education or treatment recommendations
Providing a written SAP report that meets DOT requirements
Conducting a follow up evaluation after recommendations are completed
Developing a follow up testing plan
SAPs represent the major decision point an employer may have in choosing whether or not to return an employee to a safety-sensitive position, such as behind the steering wheel of a school bus, in the cockpit of a plane, behind the steering wheel of an semi-truck, at the helm of an oil tanker, at the throttle of a train, in the engineer compartment of a subway car, or at the emergency control valves of a natural gas pipeline.
What a SAP Does Not Do
A SAP is not:
A treatment provider
A program or bundled service
An advocate for the employer or the employee
A decision maker regarding hiring, termination, or reinstatement
Clear boundaries protect compliance and reduce confusion.
Common Employer and DER Missteps
Delays and compliance issues often occur when:
A SAP is selected without verifying qualification under §40.281
A treatment provider is mistakenly used as a SAP
The employer fails to provide a SAP list as required by §40.287
SAP reports are incomplete or misunderstood
Informal advice replaces regulatory guidance
Most issues are preventable with early action and documentation.
DER Compliance Checklist
49 CFR Part 40 §§40.281 and 40.287
DERs should be able to answer yes to each of the following:
Did the employer provide the employee with a list of SAPs qualified under §40.281?
Was the SAP list provided promptly after the violation occurred?
Have the SAP credentials on the list been verified?
Is documentation maintained showing when and how the SAP list was provided?
Are unqualified counselors or treatment providers excluded from the list?
If any answer is no, corrective action should be taken immediately.
Why This Matters
Improper handling of SAP related responsibilities can result in:
Extended employee downtime
Operational disruptions
Increased administrative burden
Regulatory exposure
Audit findings
Formal complaints submitted to the appropriate DOT Modal Administration
Understanding both when to call a SAP and what employers are required to do supports compliance and protects operations.
Key Takeaway
A Substance Abuse Professional is a required part of the DOT Return to Duty process. Employers also carry clear responsibilities under 49 CFR Part 40 §§40.281 and 40.287. Early engagement, proper documentation, and use of qualified SAPs support compliance and prevent unnecessary delays.
Employer support
Employers with questions about SAP requirements, DER responsibilities, or the Return to Duty process may contact Willroth Consulting for compliance education and SAP services.
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