Project Planning & Execution Flashcards

How long must an employer retain SAP-related records under DOT regulations?

Answer: 5 years from the date of the initial evaluation

Under 49 CFR Part 40 and DOT modal regulations, employers must generally retain SAP-related records for a minimum of 5 years from the date of the SAP's initial evaluation.

An employee changes employers during the SAP process but will again perform DOT safety-sensitive functions. What must happen?

Answer: The new employer must ensure the employee continues with the current SAP process, including completing all recommendations

The SAP process follows the employee, not the employer; a new employer in the same safety-sensitive transportation industry must continue and honor the existing SAP process.

Which of the following is NOT a permissible SAP treatment recommendation under DOT guidelines?

Answer: Suspension of all employment pending cure

The SAP's role is to recommend education or treatment — not to impose employment actions; suspending employment is an employer decision outside the SAP's authority.

Under what circumstances may an SAP modify the follow-up testing plan after it has been communicated to the employer?

Answer: The SAP may modify the plan based on new clinical information, but the minimum 6-tests-in-12-months requirement must still be met

An SAP may clinically modify the follow-up testing plan when warranted by new information, but cannot reduce it below the regulatory minimum of 6 tests in the first 12 months.

What information is the SAP permitted to share with a treatment provider without a release of information from the employee?

Answer: The fact that a DOT violation occurred and the nature of the referral, as required for treatment coordination

The SAP may share the nature of the DOT violation and referral information with a treatment provider as necessary to coordinate care, but detailed records still require appropriate consent.

What must an SAP's written report to the employer include regarding the follow-up testing plan?

Answer: The number and frequency of follow-up tests and the period during which they must occur

Per 49 CFR 40.311(c), the SAP's report must specify the number of follow-up tests, the frequency, and the timeframe — but not the exact test dates, which remain unannounced.

When executing the SAP referral plan, which professional role is responsible for actually scheduling and administering the return-to-duty test?

Answer: The employer (DER)

Once the SAP issues the return-to-duty clearance, it is the employer (through the DER) who is responsible for scheduling and directing the employee to take the return-to-duty test.