SAP Regulatory Compliance & Legal Framework 3 — Questions and Answers
Question 1: Under DOT regulations, who bears the cost of the SAP evaluation and any required education or treatment?
- The DOT agency that mandates testing
- The Medical Review Officer (MRO)
- The employer, unless a collective bargaining agreement states otherwise
- The employee (Correct answer)
Correct answer: The employee
Under 49 CFR Part 40, the employee is responsible for paying for the SAP evaluation and any required treatment or education, unless the employer's policy or a collective bargaining agreement provides otherwise.
Question 2: A follow-up testing plan established by a SAP under 49 CFR Part 40 must include at minimum:
- 6 tests in the first 12 months following return to duty (Correct answer)
- 12 tests in the first 24 months following return to duty
- 4 tests in the first 6 months following return to duty
- 3 tests in the first 6 months following return to duty
Correct answer: 6 tests in the first 12 months following return to duty
The SAP must establish a follow-up testing plan of at least 6 tests in the first 12 months after the employee's return to safety-sensitive duty.
Question 3: Which DOT regulation governs drug and alcohol testing for aviation employees performing safety-sensitive functions?
- 14 CFR Part 120 (Correct answer)
- 49 CFR Part 655
- 49 CFR Part 219
- 14 CFR Part 91
Correct answer: 14 CFR Part 120
FAA drug and alcohol testing requirements for aviation employees in safety-sensitive roles are contained in 14 CFR Part 120.
Question 4: Under 49 CFR Part 40, the SAP's follow-up testing plan may extend beyond 12 months for up to:
- 18 months
- 24 months
- 36 months
- 60 months (Correct answer)
Correct answer: 60 months
A SAP may require follow-up testing for up to 60 months (5 years) following an employee's return to safety-sensitive duty.
Question 5: An employer receives a SAP's return-to-duty recommendation. Before the employee can resume safety-sensitive functions, the employer must ensure:
- The employee completes 30 days of random testing
- A return-to-duty drug or alcohol test is conducted and results are negative (Correct answer)
- The employee signs a last-chance agreement
- The MRO re-verifies the original positive result
Correct answer: A return-to-duty drug or alcohol test is conducted and results are negative
The employer must ensure a return-to-duty test is conducted with a verified negative result before allowing the employee to perform safety-sensitive functions.
Question 6: Which of the following correctly describes the DOT's position on SAPs providing services via telehealth or telephone?
- Telehealth is fully permitted for all SAP evaluations
- The initial face-to-face evaluation must be in-person; follow-up may use telehealth if the SAP determines it appropriate (Correct answer)
- Telehealth is prohibited under all DOT SAP regulations
- Telehealth is permitted only for employees in rural areas with a DOT waiver
Correct answer: The initial face-to-face evaluation must be in-person; follow-up may use telehealth if the SAP determines it appropriate
DOT requires the initial evaluation to be face-to-face, but subsequent follow-up evaluations may be conducted via telehealth at the SAP's clinical discretion.
Question 7: Under FMCSA regulations, a CDL driver who has violated a DOT drug and alcohol rule is prohibited from operating a CMV until they have:
- Completed 30 days of inpatient treatment
- Successfully completed the return-to-duty process per 49 CFR Part 40 Subpart O (Correct answer)
- Paid all fines associated with the violation
- Surrendered and reapplied for their CDL
Correct answer: Successfully completed the return-to-duty process per 49 CFR Part 40 Subpart O
A CDL driver cannot return to safety-sensitive CMV operation until successfully completing the full return-to-duty process outlined in 49 CFR Part 40 Subpart O.
SAP Regulatory Compliance & Legal Framework 3
Under DOT regulations, who bears the cost of the SAP evaluation and any required education or treatment?