Can a SAP Refer an Employee to the SAP's Own Practice?

Generally no. Under 49 CFR 40.299(b), "To prevent the appearance of a conflict of interest," a SAP must not refer an employee who needs assistance to the SAP's private practice, to a person or organization from which the SAP receives payment, or to one in which the SAP has a financial interest. The rule also precludes referrals to entities with which the SAP is financially associated.

Section 40.299(c) lists four exceptions, and a SAP may refer an employee to any of them regardless of the relationship. They are a public agency, such as a treatment facility operated by a state, county or municipality, and the employer or a person or organization under contract to the employer to provide alcohol or drug treatment or education services. The other two are the sole source of therapeutically appropriate treatment under the employee's health insurance program, and the sole source of therapeutically appropriate treatment reasonably available to the employee, such as the only treatment facility or education program reasonably located within the general commuting area.

Under 40.299(a), the SAP serves as a referral source to help the employee enter an education or treatment program. Under 49 CFR 40.293(c) and (d), appropriate education may include self-help groups and community lectures where attendance can be independently verified, and bona fide drug and alcohol education courses. Appropriate treatment may include in-patient hospitalization, partial in-patient treatment, out-patient counseling programs and aftercare. Under 40.293(e), the SAP evaluates each employee individually and sets a plan unique to that employee.

In its March 4, 2026 notification (91 FR 10518), DOT listed SAPs "referring employees solely to online programs as opposed to in-person programs as appropriate" among issues it had become aware of. Under 49 CFR 40.365(b)(9), a service agent's relationship with another party that constitutes a conflict of interest under Part 40 is one of the listed examples of serious noncompliance that can lead to a Public Interest Exclusion proceeding, and the notification repeats that example.

The SAP's other duties are covered in What Does a DOT Substance Abuse Professional Do?.

SAPs and EAP providers appear as separate categories in the MyDrugTesting.com directory.