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Build Your Business with the Department of Transportation Substance Abuse Professional (SAP) Qualification

Presented by:Wanda McMichael, CAC II, NCAC II, SAP

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Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course

Presented By:


Seminar Objectives

Today’s webinar will answer the following questions:

1) What is the DOT Alcohol and Drug Testing Program?

2) What is a Substance Abuse Professional (SAP)?

3) What are the benefits of becoming an SAP?

4) What are the requirements to be an SAP?

5) How can I meet the requirements?

6) How can I re-qualify?

Question and Answer session at end of program

What is the DOT Alcohol and Drug Testing Program?


Overview of the DOT Alcohol and Drug Testing Program

Safety is the #1 priority of the U.S. Department of Transportation.

A cornerstone of their safety policy is ensuring that transportation providers across all modes employ workers

who are drug- and alcohol-free while performing safety sensitive duties:

roads, rails, water, or in the air, over land and underground



The transportation industry has worked hard to reduce the number of accidents and crashes directly related to drug and alcohol use.

Human risk factors remain – some transportation workers do use illicit drugs or abuse alcohol, despite serious efforts to deter them.



49 Code of Federal Regulations (C.F.R.) § 40

First published in 1988 and finally implemented in 1990

Adopted from The Department of Health and Human Services (DHHS) Mandatory Guidelines for Federal Workplace Drug Testing

– set scientific and technical standards for drug testing for federal employees and for federal certification of drug testing laboratories.



The Guidelines established the legality of and procedures for removing employees from safety-sensitive duties

immediately after they violate drug and alcohol testing rules.

Removed employees are not permitted to return to safety-sensitive duty until they are referred for evaluation and have

successfully complied with treatment recommendations.



They give an employee who works in a DOT covered safety-sensitive position the opportunity to return to that safety-sensitive position once compliance to an SAP’s

recommendations has been documented.

This gives the recovery community additional validation that individuals can be in recovery from substance use disorders and re-enter the workplace as productive, vital employees.



The Guidelines contain procedures for:

collecting urine specimens

analyzing the specimens

establishing classes of drugs of abuse

implementing a physician review of the drug test results, called medical review officers (MROs)

evaluation, referral and return-to-duty services by the Substance Abuse Professional (SAP)



The regulations cover all 6 operating administrations under the DOT:

Federal Aviation Administration (FAA)

Federal Motor Carriers Safety Administration (FMCSA)

Federal Railroad Administration (FRA)

Federal Transit Administration (FTA)

Pipeline and Hazardous Materials Safety Administration (PHMSA)

United States Coast Guard (USCG)



Then each operating administration defined:

the safety-sensitive positions within their respective administrations

acceptable reasons for testing

the circumstances that mandate testing following an accident or incident

who is authorized to require the testing of an employee

how the test must be conducted



6 reasons for conducting a drug and/or alcohol test under the DOT regulations:

Applicant/Pre-Employment Testing

Post-Accident/Incident Testing

Random Testing

Reasonable Cause/Suspicion Testing

Return-to-Duty Testing

Follow-Up Testing



6 substances tested for under the DOT regulations:

amphetamines

cocaine

marijuana

opiates

phencyclidine (PCP)

alcohol



The primary safety objective of the DOT regulations is to prevent, through deterrence and detection, alcohol and controlled substance users from performing transportation industry safety-sensitive functions.

The regulations were not expected to be able to abolish drug use in the workplace due to the limitations of a drug test.

The goal of the testing process is to convince employees not to use drugs due to risk of possible job loss.



Current DOT regulations are accessible throughthe Department of Transportation’s website,

www.dot.gov/ost/dapc (click on Drug and Alcohol Testing Regulations) or requested by phone at

800.225.3784.

What is an SAP?


What is an SAP?

A Substance Abuse Professional (SAP) is a trained professional that evaluates employees

who have violated a DOT drug and alcohol regulation and makes recommendations to an

employer concerning education, treatment, follow-up testing and continuing care.


What is an SAP?

As an SAP, you elect to have a special relationship and bond with everyone the employee will encounter if that employee returns to the performance of safety-sensitive duties.

Traveling Public = kids, moms, dads, boyfriends, girlfriends, wives, husbands, partners, close friends, acquaintances, strangers, co-workers, neighbors and many others.


What is an SAP?

SAP function = protect the public interest in safety by professionally evaluating the employee and recommending appropriate education

and/or treatment, follow-up tests, and continuing education.

An SAP operates as a “gatekeeper” of the return-to-duty process and provides an important service to the employee, the employer

and to the traveling public.

In your counseling work, you view the person walking through your door as your client. As an SAP, the public is now your client, too.


What is an SAP?

SAPs represent the major decision point (and in some cases the only decision point) an employer may have in choosing whether or not to place an employee:

– behind the steering wheel of a school bus

– in the cockpit of a plane

– at the helm of an oil tanker

– at the throttle of a train

– in the engineer compartment of a subway car

– at the emergency control valves of a natural gas pipeline

Your responsibility to the public is enormous!


What is an SAP?

SAPs are responsible for several duties important to the evaluation, referral and treatment of employees identified

through breath and urinalysis testing as being:

– positive for alcohol and/or controlled substance use,

– who refuse to be tested or

– who have violated other provisions of the DOT rules.


What Does an SAP Do?

1) Fundamental responsibility = to provide a comprehensive face-to-face assessment and clinical evaluation to determine what level of assistance the employee needs in resolving problems associated with alcohol use or prohibited drug use.

2) After this assessment, the SAP must recommend a course of education and/or treatment with which the employee must comply prior to returning to DOT safety-sensitive duty.



Treatment recommendations can include, but are not limited to: in-patient treatment partial in-patient treatment intensive out-patient treatment out-patient treatment education programs continuing care

Education recommendations can include, but are not limited to: bona fide drug and alcohol education courses self-help groups community lectures



Upon the determination of the best recommendation for assistance, you will serve as a referral source to assist the employee's entry into an acceptable program.

Prior to the employee's return to safety-sensitive duties, you are required to provide a face-to-face follow-up evaluation with the employee to determine if the individual has demonstrated successful compliance with recommendations of the initial evaluation and has made appropriate clinical progress sufficient to return to duty.



SAPs also develop and direct a follow-up testing plan for the employee returning to work following successful compliance.

SAPs specify the number and frequency of the follow-up tests.

The employer is then responsible for ensuring that the individual is tested according to the plan.



There are times when an employee will need continuing assistance with an alcohol or drug problem even if the employee is ready to return to work.

At these times, you will provide the employee and employer with your recommendations for continuing care.


Other Important SAP Information

Note: Employers are not required to provide an SAP evaluation or any subsequent recommended education or treatment for an employee.

However, if the employer offers the employee an opportunity to return to DOT safety-sensitive duty, the employer must ensure that the employee goes through the entire return-to-duty process that includes successful compliance with the SAP’s recommendations.

Payment is left for employers and employees to decide and may be determined by existing management-labor agreements, employer policies or health care benefits.

What are the benefits of becoming an SAP?


Making Your Qualification Work for You

Working as an SAP can generate a great deal of additional income for the time:

$400 - 800 = average charge for SAP services• assessment

• referral

• case management

• follow-up testing plan

• continuing care

Helps build your retirement fund, pay down debt, replenish your savings



Expand your private practice Advertise as an SAP

(assessment or recommended treatment services)

Partner with treatment agencies to provide referrals(assessment or recommended treatment services)

Get employed by an agency that has an SAP staff position



Reduce your workload Transition into retirement, while maintaining private practice Not responsible for therapeutic interventions, if desired

Use your current skill set in a new way

Engage with a new population of clients

A new role to establish with clients


Benefits to Being an SAP

Exclusivity Many areas have a low concentration of SAPs Lucrative market

The new Secretary of the Dept of Transportation is public-minded and is dedicated to ensuring safety.

This field is growing - get qualified now!

What are the requirements to be an SAP?


SAP Eligibility Requirements

In order to be an SAP, you need to:

1) have certain credentials

2) possess specific knowledge

3) receive training

4) achieve a passing score on an examination

5) complete a continuing education requirement


Qualification Requirements

In order to qualify to be an SAP, a counselor must have one of the following credentials:

Alcohol and drug abuse counselor certified by NAADAC/NCC (National Certification Commission) or the International Certification Reciprocity Consortium (IC&RC)

Licensed physician (Doctor of Medicine or Osteopathy)

Licensed or certified social worker

Licensed or certified psychologist

Licensed or certified employee assistance professional

National Board of Certified Counselors (NBCC) Masters Addiction Counselor (MAC)

Licensed Marriage and Family Therapists (LMFT)



Eligible SAPs must also possess the following knowledge requirements:

Be knowledgeable about and have clinical experience in the diagnosis and treatment of alcohol and controlled substance use disorders.

The DOT does not specify what constitutes adequate clinical experience or knowledge, so it is recommended that SAPs have documented work experience and/or training in the addiction profession.

SAPs must be able to defend their educational qualifications and work experience if challenged by an employer, employee, C/TPA or DOT agency representative.



Be knowledgeable about the SAP function as it relates to the employer and other service agents in the return-to-duty process.

• Specifically, understand from the employer’s perspective the employer’s responsibility to the public in maintaining safety in public transportation.

Understand the rules and regulations governing drug and alcohol testing outlined in 49 C.F.R. § 40 and the rules governing the particular the operating administration of the employer for whom the employee works or worked.



Finally, eligible SAPs must also receive SAP qualification training and pass a validated examination administered by a nationally recognized professional or training organization.

The DOT has specified that the following components must be covered in any acceptable training program:

1) background, rationale and coverage of the DOT’s drug and alcohol testing program

2) 49 C.F.R. § 40 and DOT agency drug and alcohol testing rules



3) key DOT drug testing requirements, including collections, laboratory testing, MRO review and problems in drug testing;

4) key DOT alcohol testing requirements, including the testing process, the roles of BATs and STTs and problems in alcohol testing

5) SAP qualifications and prohibitions



6) the role of the SAP in the return-to-duty process, including the initial employee evaluation, referrals for education and/or treatment, the follow-up evaluation, continuing treatment recommendations and the follow-up testing plan

7) SAP consultation and communication with employers, MROs and treatment providers

8) reporting and record keeping requirements

9) issues that SAPs confront in carrying out their duties under the program



SAP must complete 12 hours of professional development relevant to performing SAP functions during each subsequent three-year renewal period.

This continuing education must include material concerning new technologies, interpretations, recent DOT guidance, rules changes and other developments in SAP practice pertaining to the DOT program.

The training program must include some form of documentation that demonstrates that the material was learned, such as a test or assessment tool that rates the participant’s understanding of the material presented.

An SAP must provide proof upon request in the event of an audit by an employee, employer, C/TPA or DOT agency representative that all the qualification and training requirements have been met.

How can I meet the requirements?


Credentialing Requirements

Being certified through NAADAC/NCC satisfies the credentialing requirements to be an SAP:

National Certified Addiction Counselor, Level I (NCAC I)

National Certified Addiction Counselor, Level II (NCAC II)

Master Addiction Counselor (MAC)


Credentialing Requirements

Each of these credentials has specific education, training and experience requirements that determine eligibility.

Visit www.naadac.org for more information.

Discounts are offered to NAADAC members.


Training Requirements

NAADAC offers a home-study course for your convenience:

Bound manual teaches the required domains and

regulations easy to read and organized format future desk reference example forms and reports

Validated, written examination


Training Requirements

90 days from date of purchase to return the exam

Must answer 75% of questions correctly

Upon successfully passing the examination, purchasers are awarded: Qualification Certificate to display in your

office Certificate of Completion for 12 CEs 3 years of maintenance-free eligibility to

practice as an SAP A free listing on our website


Training Resources

Pricing: Members: $307 Non-members: $407

To order: Call: 800.548.0497 Email: [email protected]

How can I re-qualify?


Re-qualification Requirements

SAPs must re-qualify every 3 years Must complete at least 12 CEs relevant

to performing SAP duties

NAADAC provides a re-qualification training package, as well:

The Substance Abuse Professional’s U.S. DOT Alcohol and Drug Testing Regulation Re-

Qualification Course


Re-qualification Requirements

Includes: bound manual and shorter examination

Revised every 3 years to stay current

90 days from date of purchase to return the exam

Must answer 75% of questions correctly

Upon successfully passing the examination, purchasers are awarded:

Qualification Certificate to display in your office

Certificate of Completion for 12 CEs

3 years of maintenance-free eligibility to practice as an SAP

A free listing on our website


Re-qualification Resources

Pricing: Members: $307 Non-members: $407

To order: Call: 800.548.0497 Email: [email protected]


Providing solutions to improve the quality of life for communities by helping addictions professionals excel in their field through the use of information technology.

Visit us today! Call: (800) 324-7966Click: www.MyAccuCare.com

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March 17: March to Membership: Professional Identity & Students and New Professionals

April 14: Screening, Brief Intervention and Referral to Treatment (SBIRT)

May 19: Education Providers - the New Standard of Success

June 16: Get the Most out of Your National Conference on Addiction Disorders (NCAD 11) Experience

July 14: Co-Occurring Disorders

August 18: Strategies for Successful Test Taking

September 15: Your Voice Counts: Advocacy and the NAADAC Political Action

October 13: Conflict Resolution for Clients and Professionals

November 17: What’s Next in Your Career? Recap and Highlights from the NAADAC Workforce Conference

December 15: Clinical Supervision: Keys to Success

www.naadac.org/education

Upcoming Webinars 2011


Additional Resources: www.naadac.org/education

www.naadac.org/education

The Basics of Addiction Counseling: Desk Reference and Study Guide

Integrating Treatment for Co-occurring Disorders: What Every Addiction Counselor Needs to Know

Conflict Resolution in Recovery Kit

New Innovations with Opioid Treatment: Buprenorphine

New Horizons: Integrating Motivational Styles, Strategies and Skills with Pharmacotherapy

Thank You for Participating!

Please feel free to ask questions!

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phone: 402.341.8880 fax: 402.341.8911

www.myaccucare.com [email protected]

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phone: 703.741.7686/800.548.0497 fax: 703.741.7698/800.377.1136

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