REGULATORY CLARIFICATION

FTA Drug and Alcohol Regulation Updates
Issue 30, page 5

     All FTA recipients/subrecipients covered under the FTA drug and alcohol testing regulations are ultimately responsible for the quality and compliance of their programs. This responsibility includes the monitoring and oversight of all service agents including your Substance Abuse Professionals (SAPs). Every employer who performs DOT drug and alcohol testing must be able to provide a list of qualified SAPs to every employee and applicant who tests positive or refuses a test. This information must be provided even if the employer’s policy is to discharge employees who violate their drug and alcohol policy.
     A SAP must be a professional listed by name and can not be a facility, treatment program, or medical practice. The term “Substance Abuse Professional” has become a generic term used in the counseling industry to mean anyone that provides substance abuse counseling. This loose use of the title has resulted in significant confusion and misunderstanding among DOT covered employers and the substance abuse counseling industry. Many people may be professionals that address substance abuse, but few are Substance Abuse Professionals as defined by DOT (49 CFR Part 281).
     To be a qualified SAP for a Federal drug and alcohol testing program, the individual must meet the following minimum requirements.

• A SAP must be a licensed physician (Doctor of Medicine or Doctor of Osteopathy); or a licensed or certified psychologist; a licensed or certified social worker; or a licensed or certified employee assistance professional; or a Master Addiction Counselor (MAC) certified by the National Board for Certified Counselors, Inc. and Affiliates (NBCC), or an alcohol and drug abuse counselor certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission (NAADAC), or by the International Certification Reciprocity Consortium /Alcohol and Other Drugs (ICRC).
• The SAP must have knowledge of and clinical experience in the diagnosis and treatment of substance abuse-related disorders, and must have knowledge of the SAP’s role in the protection of public safety.
• Previously practicing SAPs must have completed qualifications training by December 31, 2003. New SAPs entering into practice after this date must have received training before they perform SAP duties.
• Following the qualifications training, the individual must satisfactorily complete an examination that is given by a nationally recognized professional or training organization.
• SAPs must also successfully complete twelve hours of professional development training every three years. The professional development training is usually obtained in the form of continuing education credits that are relevant to the performance of SAP functions. At a minimum, the continuing education must address new drug and alcohol abuse technologies, current DOT and modal rule changes and interpretations, DOT provided SAP guidance, and other information about the SAP function and how it relates to the DOT testing program. The continuing education program must provide a documented assessment of SAP knowledge.

     SAPs must maintain documentation demonstrating their compliance. Transit system drug and alcohol program managers should request this information and verify that it is compliant. Special attention should be given to dates of the initial qualifications training and subsequent professional development training to see if the required timeframes have been met. A simple record check may uncover a major compliance issue.

Subcontractor Exemption Applies Only to Maintenance

     All contractors that “stand in the shoes” of a grantee/subrecipient and perform safety- sensitive functions are covered by the regulations and must have a compliant program. Similarly, subcontractors that “stand in the shoes” of a grantee/subrecipient and perform safety-sensitive functions are also included. The only exception to this provision is second tier maintenance contractors which were specifically excluded. This exclusion exists only in relation to maintenance subcontractors because of the specific and unique nature of these vendors. This exclusion does not pertain to any other safety-sensitive subcontractors (e.g., operations, security).

Note: This list will be updated periodically.

Non-evidential Testing Devices
May 4, 2001
Federal Register Vol.66
Pages 22639 - 22640
Primary Topic: Initial Alcohol Screening Devices

Note: This list will be updated periodically.

 

The information presented on this page should be used to update Chapter 9 of the revised Implementation Guidelines.