Employer Guide to DOT SAP Referrals

The moment a violation occurs

1. Remove the employee immediately from all safety-sensitive functions.
2. Report to the FMCSA Clearinghouse within three business days (for CDL drivers).
3. Provide the employee with a written list of qualified SAPs, per 49 CFR § 40.287.
4. Document the removal, the notification, and the SAP list you provided.

Making a compliant referral

Under DOT rules, the employee chooses the SAP — the employer cannot mandate a specific provider. Your job is to:

• Give the driver enough qualified SAP options to make a real choice.
• Provide accurate DER contact information so the SAP can send the recommendation and reports directly to you.
• Not obstruct or delay the driver's access to a SAP.

What you receive from the SAP

1. An initial recommendation for education, treatment, or both, sent to the DER after the first evaluation.
2. A follow-up report after the driver completes the program, confirming they are ready to test.
3. A follow-up testing plan — the schedule of unannounced tests you must administer once the driver returns.

The return-to-duty test

Once the SAP sends the follow-up report, you schedule the return-to-duty test with your collection provider. It must be directly observed. A negative result is required before the driver can perform any safety-sensitive function again.

Follow-up testing plan

• Minimum: 6 tests in the first 12 months back on duty.
• Maximum: up to 5 years, at the SAP's discretion.
• Schedule the tests on an unannounced basis — the driver should not know when they are coming.
• The plan transfers with the driver if they change DOT employers.

Common employer mistakes

• Steering the driver to one SAP or a preferred vendor.
• Letting the driver perform "non-driving" DOT duties before RTD clearance.
• Forgetting to enter the return-to-duty and follow-up test results in the Clearinghouse.
• Losing track of the follow-up testing schedule.

How Bailey's supports employers

We work directly with your DER to make the process straightforward: fast scheduling (virtual telehealth only), clear written reports, and a follow-up testing plan you can actually manage. Call 919-583-7910 to set up an employer referral relationship.