What Is Included in a DOT SAP Report?

Under 49 CFR 40.311(a), a SAP sends written reports directly to the DER, not to a third party for forwarding, although the SAP may send them to a C/TPA at the same time. Under 49 CFR 40.355(f), a C/TPA may act as an intermediary in passing a SAP report to an owner-operator or other self-employed individual, as covered in What Can a C/TPA Do for an Owner-Operator under DOT Rules?. Under 40.311(c) to (e), each report must be on the SAP's own letterhead, not that of another service agent, and signed and dated by the SAP.

Under 40.311(c), the report after the initial evaluation lists the employee's name and Social Security number or employee ID number, the employer's name and address, the reason for the assessment (the specific violation and its date), the dates and format (face-to-face or remote) of the assessment, the SAP's education or treatment recommendation and the SAP's telephone number.

Under 40.311(d), the report after a follow-up evaluation finding successful compliance adds a synopsis of the treatment plan, the practices or services that provided education or treatment, the dates of program participation, a clinical characterization of that participation, the SAP's clinical determination, the follow-up testing plan and the employee's continuing care needs. Under 40.311(e), a report finding that the employee has not demonstrated successful compliance gives the follow-up evaluation dates and the SAP's clinical reasons instead of a testing plan.

Under 40.311(b), the employer must receive the reports directly from the SAP, unchanged by any third party. Under 40.311(f), the SAP also provides the reports directly to the employee if the employee has no current employer, and to a gaining DOT-regulated employer. Under 40.311(g) and (h), the SAP keeps copies of reports to employers for 5 years, and the employer keeps SAP reports for 5 years from the date received.

Under 49 CFR 40.329(c), a SAP must make SAP reports available to the employee on request, with the follow-up testing information removed, as covered in Can an Employee Get a Copy of DOT Drug Test Records?.

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