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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Presented By:
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program

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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program

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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program
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 safetysensitive duty until they are referred for evaluation and have
successfully complied with treatment recommendations.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program
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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program
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)
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program
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)
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program
6 substances tested for under the DOT regulations:
 amphetamines
 cocaine
 marijuana
 opiates
 phencyclidine (PCP)
 alcohol
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program

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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Overview of the DOT Alcohol
and Drug Testing Program
Current DOT regulations are accessible through
the 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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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!
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
What Does an SAP Do?
1) Fundamental responsibility = to provide a comprehensive face-toface 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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
What Does an SAP Do?
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
What Does an SAP Do?

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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
What Does an SAP Do?

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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
What Does an SAP Do?

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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Making Your Qualification
Work for You
 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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Making Your Qualification
Work for You
 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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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 publicminded and is dedicated to ensuring safety.
 This field is growing - get qualified now!
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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)
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Qualification Requirements
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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Qualification Requirements
 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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Qualification Requirements
 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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Qualification Requirements
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Qualification Requirements
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Qualification Requirements

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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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)
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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.
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Training Resources
Pricing:
 Members: $307
 Non-members: $407
To order:
 Call: 800.548.0497
 Email: naadac@naadac.org
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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 ReQualification Course
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification 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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Re-qualification Resources
Pricing:
 Members: $307
 Non-members: $407
To order:
 Call: 800.548.0497
 Email: naadac@naadac.org
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
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Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Upcoming Webinars 2011

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
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Additional Resources:
www.naadac.org/education
The Basics of Addiction
Counseling: Desk
Reference and Study Guide
Conflict Resolution in
Recovery Kit
New Innovations with
Opioid Treatment:
Buprenorphine
New Horizons: Integrating
Motivational Styles,
Strategies and Skills with
Pharmacotherapy
Integrating Treatment for Co-occurring
Disorders: What Every Addiction
Counselor Needs to Know
www.naadac.org/education
Substance Abuse Professional’s U.S. Department of Transportation Alcohol and Drug Testing Regulation Qualification and Requalification Course
Thank You for
Participating!
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ask questions!
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