SAP Regulatory Guidelines 3 — Questions and Answers
Question 1: Under 49 CFR Part 40, a SAP must be knowledgeable about which of the following?
- DOT agency-specific regulations for each modal employer
- 49 CFR Part 40 and DOT agency regulations relevant to the employees they evaluate (Correct answer)
- Only the regulations of the modal agency employing the worker
- State licensing laws for substance abuse counseling only
Correct answer: 49 CFR Part 40 and DOT agency regulations relevant to the employees they evaluate
SAPs must be knowledgeable about 49 CFR Part 40 and the DOT modal regulations applicable to the safety-sensitive employees they evaluate.
Question 2: What is the maximum blood alcohol concentration (BAC) that constitutes a DOT alcohol violation for safety-sensitive employees?
- 0.02
- 0.04 (Correct answer)
- 0.08
- 0.10
Correct answer: 0.04
A BAC of 0.04 or greater is a DOT alcohol violation requiring removal from safety-sensitive duty and SAP referral.
Question 3: Which of the following best describes the SAP's role under DOT regulations?
- An advocate who helps employees avoid termination
- A gatekeeper who evaluates and recommends treatment before return to duty (Correct answer)
- An employer representative who makes hiring decisions
- A prescribing clinician who manages medication-assisted treatment
Correct answer: A gatekeeper who evaluates and recommends treatment before return to duty
The SAP serves as a gatekeeper who evaluates the employee, recommends treatment or education, and determines when the employee is ready to return to safety-sensitive duty.
Question 4: If an employee fails to comply with the SAP's recommended treatment, the SAP must:
- Refer the employee to a higher level of care immediately
- Notify the employer that the employee has not successfully complied (Correct answer)
- Report the employee to the DOT modal agency
- Discharge the employee from SAP services
Correct answer: Notify the employer that the employee has not successfully complied
When an employee fails to comply with prescribed treatment or education, the SAP must notify the employer's DER in writing.
Question 5: DOT drug testing panels must test for which of the following groups of substances?
- Marijuana, cocaine, opioids, amphetamines, and phencyclidine (PCP) (Correct answer)
- Marijuana, cocaine, opioids, amphetamines, barbiturates, and benzodiazepines
- Marijuana, cocaine, heroin, methamphetamine, and LSD
- Marijuana, alcohol, cocaine, opioids, and amphetamines
Correct answer: Marijuana, cocaine, opioids, amphetamines, and phencyclidine (PCP)
The DOT 5-panel test covers marijuana metabolites, cocaine metabolites, opioids, amphetamines/methamphetamine, and PCP.
Question 6: A SAP may NOT make a return-to-duty recommendation based solely on:
- A face-to-face clinical assessment
- A telephone or video-only evaluation (Correct answer)
- Review of prior treatment records
- Consultation with the treating clinician
Correct answer: A telephone or video-only evaluation
The initial SAP evaluation must be conducted face-to-face; a telephone or video-only evaluation is not sufficient under 49 CFR Part 40.
Question 7: Under DOT regulations, who is responsible for selecting and referring an employee to a SAP?
- The employee selects their own SAP
- The employer or their agent refers the employee to a qualified SAP (Correct answer)
- The MRO refers the employee to the SAP after a positive result
- The DOT modal agency assigns a SAP
Correct answer: The employer or their agent refers the employee to a qualified SAP
The employer (through the DER) is responsible for referring the employee to a qualified SAP following a violation.
SAP Regulatory Guidelines 3
Under 49 CFR Part 40, a SAP must be knowledgeable about which of the following?