What happens at a SAP evaluation
Under Part 40, the SAP conducts a comprehensive face-to-face assessment and clinical evaluation. The evaluation can be conducted in person or, at the SAP's discretion, remotely using technology that permits real-time audio and visual interaction and is good enough for the SAP to obtain the information that would otherwise be available in person. Remote communications must also provide appropriate confidentiality and security, and the SAP must comply with the geographic limits of the credential that qualifies them to act as a SAP.
The SAP evaluates the individual circumstances and must recommend education, treatment or both for every person who has committed a DOT drug or alcohol regulation violation. There is no rule requiring the same course or level of treatment for every driver.
Read more in our SAP evaluation guide and our guide to remote SAP evaluations.
What to have ready
A SAP may have their own intake requirements, so ask before the appointment. Useful information to have available can include:
- the identification the SAP asks you to bring or show
- the date and type of DOT violation and any information you received about it
- your employer's designated employer representative, or DER, and C/TPA information if applicable
- for an FMCSA case, access to your Clearinghouse account and the information needed to designate the SAP if you have not already done so
- a current list of medications or prescriptions if the SAP asks for medical or substance-use history
- for a remote appointment, a private setting, working camera and microphone, reliable internet and enough uninterrupted time for the evaluation
These preparation items are practical suggestions, not a federal list of documents that every SAP must require.
How to approach the appointment
Give the SAP complete and accurate information so they can make the clinical assessment required by Part 40. The SAP's regulatory role is to protect the public interest in safety. The SAP is not an advocate for either the employee or the employer.
You cannot seek a second SAP simply to obtain a different recommendation. Under 49 CFR 40.295, neither the employee nor employer may use a second SAP evaluation to shop for a different result. The SAP who performed the initial evaluation may modify their own recommendation if new or additional information supports doing so.
Before leaving the appointment, ask what education or treatment has been recommended, where you have been referred, what documentation the SAP will need from the provider and how the follow-up evaluation will be arranged.
Checking that a SAP is DOT-qualified
Under 49 CFR 40.281, a SAP must have a qualifying professional credential, the required knowledge and clinical experience, SAP qualification training and a successfully completed qualifying examination. The SAP must also complete at least 12 professional development hours of relevant continuing education during each three-year period and maintain documentation showing that the requirements are current.
Qualifying credentials include specified licensed or certified physicians, social workers, psychologists, employee assistance professionals, marriage and family therapists, and drug and alcohol counselors certified by an organization recognized for this purpose by DOT. For a remote evaluation, the SAP must also stay within the geographic limitations of the credential that qualifies them.
Ask a prospective SAP to confirm that they currently meet 49 CFR 40.281 before paying. See our DOT SAP qualifications guide for more detail.