There is a lot of confusion, misunderstanding, and sometimes blatant disregard for Department of Transportation (DOT) rules when it comes to the movement of a SAP follow-up testing plan.
When a driver completes the Substance Abuse Professional (SAP) portion of the return-to-duty process and finds a job, transferring that testing plan correctly is critical. Unfortunately, the pressure of fast hiring, hearsay, and industry bad habits often get in the way of strict DOT compliance.
Let’s break down the right way to handle the SAP follow-up testing plan, how to create a bulletproof paper trail for DOT audits, and the exact templates you can use to stay compliant.
1. The Initial Transfer: Identifying the DER
When a driver is hired by their first employer after completing the SAP process, the best way to transfer the plan is for the employer to request it via a formal company email or phone call.
The Golden Rule: The SAP must send the SAP follow-up testing plan directly to the Designated Employer Representative (DER).
Often, a request will come in from a safety department, a personal cell phone, or a Consortium/Third-Party Administrator (C/TPA) without identifying who the actual DER is. According to 49 CFR § 40.311, a SAP cannot release these documents to a third party alone without specific employer oversight. The SAP can send it to the DER and the C/TPA simultaneously, but the DER must be explicitly identified first.
The Pitfall of Using the Driver as a Middleman
One major compliance mistake we frequently see is an employer providing an email address to the driver (the person with the violation) and asking the driver to pass it along to the SAP.
This is a bad practice for two reasons:
- Compromised Due Diligence: You should never include the driver in the administrative due diligence process of transferring official DOT records.
- Unverified Identities: A random email handed over by a driver does not specifically identify if the contact belongs to the actual DER, or just a manager or supervisor lacking the authority to receive these sensitive documents.
The Correct Way: Instead of relying on the driver to play middleman, the employer should simply collect the initial SAP Evaluation Reports directly from the driver. By law, these reports must be printed on the SAP’s official letterhead and will include the SAP’s direct contact information. Once the employer has that report, the official DER can contact the SAP directly (via company email or phone) to request the follow-up testing plan and establish a concrete paper trail.
Email Template: Replying to a C/TPA Missing DER Info
If you receive a request from a C/TPA without DER details, use this response to maintain compliance and establish a solid paper trail:
Subject: Request for [Driver Name]’s SAP Follow-Up Testing Plan
Hi [C/TPA Name],
To ensure full compliance with DOT Part 40 regulations, please note that SAP reports and follow-up testing plans must be transmitted directly to the Designated Employer Representative (DER). While I am happy to copy you as the C/TPA on these communications, I cannot release these documents to a third party alone without specific employer oversight.
Currently, this request does not identify who the DER is or their contact information. To proceed, please provide the following:
- Employer/Company Name
- DER’s First and Last Name
- DER’s Phone Number
- DER’s Direct Email Address
As soon as I receive these details, I will immediately forward the SAP reports and the follow-up testing plan to both the DER and you as the C/TPA simultaneously. Thank you.
2. Employer-to-Employer Transfers: Do Your Due Diligence
A major issue arises when a driver with an active testing plan moves from one employer to another. We frequently see new employers who either don’t know, don’t understand, or deliberately disregard the DOT rule requiring them to reach out to the previous employer.
As detailed by the FMCSA, the new employer must request the follow-up testing plan and all completed negative tests directly from the previous employer—not the SAP. This allows the new employer to seamlessly pick up testing exactly where the previous employer left off.
SAPs should not just distribute the testing plan to every new employer out of fear, pressure, or threats. SAPs must do their due diligence to ensure the new employer reaches out to the previous employer first. If the previous employer refuses to comply after a reasonable effort, then the SAP can step in and provide the plan to the new DER.
Email Template: Redirecting an Employer to the Previous Employer
If a new employer asks the SAP for the plan, use this template to enforce DOT due diligence:
Subject: Follow-up Testing Plan Transfer for [Driver Name]
Hi [Employer Name],
Thank you for reaching out regarding the onboarding of [Driver Name].
Per DOT regulations, the SAP Evaluation Reports, the follow-up testing plan, and all completed negative follow-up tests must be requested directly from the previous employer, rather than from the SAP.
Attached you will find the previous employer’s information, which was originally sent on [Date] to [DER Name] at [Previous Employer Name].
This requirement is precisely why conducting due diligence with previous employers is so beneficial to your team. Not only does it ultimately save you a step, but it also allows you to vet the onboarding driver much more thoroughly by reviewing their actual, complete follow-up testing plan history. This ensures you can seamlessly continue the testing schedule exactly where the previous employer left off and maintain strict DOT compliance.
If you encounter difficulties obtaining these records from the previous employer (whom I have CC’d on this email) after a reasonable period, please forward documentation of your communication efforts to me. Once received, I can facilitate sending the testing plan to the DER of your company and your C/TPA simultaneously.
If you have any questions, please feel free to call me on my business mobile.
Thanks again,
Let’s Move the Testing Plan the Right Way
When the DOT conducts an audit, they will reach out to the SAP to see exactly who documents were sent to. A solid, documented paper trail leaves no question as to how the SAP follow-up testing plan moved.
Let’s do it right. Move the testing plan according to the simple DOT rules, and leave the fast hiring, hearsay, and industry bad habits behind. The rule is the safest and most efficient way to go.
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