The SAP conducts an individual clinical evaluation
Under 49 CFR 40.293, the SAP must conduct a comprehensive face-to-face assessment and clinical evaluation after a covered DOT drug or alcohol violation. DOT also permits a qualifying face-to-face evaluation to occur by real-time audio and video when the requirements of 49 CFR 40.291 are met.
The purpose is for the SAP to determine what assistance is appropriate before a person can progress through the return-to-duty process. The SAP acts in a public-safety role and, under DOT rules, is not an advocate for either the employee or employer.
What the SAP may consider
The evaluation is individualized. The SAP uses professional judgment to assess the circumstances relevant to the violation and to determine an appropriate recommendation for education and/or treatment. There is no DOT rule saying that every positive test, refusal or alcohol violation results in the same number of classes or the same type of treatment.
DOT requires a recommendation for every employee covered by this process. Appropriate assistance can range from bona fide education to treatment, depending on the SAP's assessment. The details are clinical decisions for the qualified SAP, not for an employer, directory or referral service to predetermine.
The initial recommendation cannot be shopped around
After the initial evaluation, the SAP provides the required recommendation. 49 CFR 40.297 generally prevents an employee, employer, managed-care provider or other service agent from changing that evaluation or obtaining a second SAP opinion simply because the first recommendation is inconvenient. The original SAP may modify a recommendation when new or additional information supports a change.
If the recommendation includes education or treatment, completion alone is not the end of the SAP process. The SAP must later conduct a follow-up evaluation to determine whether the person has demonstrated successful compliance.
What happens after the first appointment
Complete the education and/or treatment directed by the SAP and keep the practical information you need to attend or participate. The SAP may communicate with the relevant education or treatment provider when evaluating compliance. After the required assistance, the SAP conducts the follow-up evaluation described in 49 CFR 40.301.
A successful follow-up evaluation does not itself clear a driver to resume safety-sensitive work. It makes the individual eligible to proceed to the required return-to-duty test, subject to the applicable employer and agency requirements.