SAP Professional Standards & Ethics 2 — Questions and Answers
Question 1: A SAP discovers that an employee they evaluated is also a client of a close personal friend. What is the most appropriate action?
- Continue the evaluation without disclosure
- Disclose the dual relationship and recuse if objectivity is compromised (Correct answer)
- Ask the friend for background information on the employee
- Refer the employee to a different SAP only if the employee requests it
Correct answer: Disclose the dual relationship and recuse if objectivity is compromised
SAPs must disclose potential conflicts of interest and recuse themselves when objectivity may be compromised.
Question 2: Under DOT regulations, which of the following best describes the SAP's primary obligation?
- Advocating for the employee's return to duty
- Protecting the employer's liability
- Ensuring public safety through objective professional evaluation (Correct answer)
- Minimizing treatment costs for the employer
Correct answer: Ensuring public safety through objective professional evaluation
The SAP's primary obligation under DOT 49 CFR Part 40 is to protect public safety through objective evaluation.
Question 3: An employee refuses to sign a release of information form during the SAP evaluation process. What should the SAP do?
- Proceed with the evaluation using available records
- Contact the employer directly to obtain records without consent
- Explain that without the release, the SAP cannot complete the evaluation (Correct answer)
- Report the refusal to the DOT immediately
Correct answer: Explain that without the release, the SAP cannot complete the evaluation
Without a signed release, the SAP cannot obtain confidential records and should inform the employee of the consequence.
Question 4: Which scenario best illustrates a violation of SAP professional boundaries?
- Recommending a treatment provider not affiliated with the SAP's practice
- Accepting a referral fee from a treatment facility for sending clients (Correct answer)
- Referring an employee to a licensed counselor for follow-up care
- Documenting the evaluation findings in a written report
Correct answer: Accepting a referral fee from a treatment facility for sending clients
Accepting referral fees from treatment providers creates a financial conflict of interest prohibited by professional ethics standards.
Question 5: How long must a SAP retain records related to a DOT evaluation under federal guidance?
- 1 year
- 3 years
- 5 years (Correct answer)
- 7 years
Correct answer: 5 years
DOT guidance recommends SAPs retain evaluation records for a minimum of 5 years.
Question 6: A SAP who also serves as an Employee Assistance Program (EAP) counselor at the same company faces which ethical concern?
- Increased efficiency due to familiarity with the employee
- A role conflict between advocacy (EAP) and objective evaluation (SAP) (Correct answer)
- An advantage in recommending appropriate treatment
- No concern because both roles support employee wellness
Correct answer: A role conflict between advocacy (EAP) and objective evaluation (SAP)
Serving as both EAP counselor and SAP for the same employee creates a role conflict between advocacy and neutral evaluation.
Question 7: Which credential does NOT qualify an individual to serve as a DOT-qualified SAP?
- Licensed physician (MD or DO)
- Certified Employee Assistance Professional (CEAP)
- Licensed Marriage and Family Therapist with no substance abuse training (Correct answer)
- Licensed Clinical Social Worker with addiction specialty credentials
Correct answer: Licensed Marriage and Family Therapist with no substance abuse training
An LMFT without substance abuse training or addiction credentials does not meet DOT qualification requirements for SAPs.
SAP Professional Standards & Ethics 2
A SAP discovers that an employee they evaluated is also a client of a close personal friend.
What is the most appropriate action?