SAP Documentation and Reports

Short Answer

The SAP's evaluations are only as useful as the written reports that document them. 49 CFR § 40.311 sets out exactly what must appear in the SAP's initial report, follow-up compliance report, and follow-up non-compliance report, how those reports must be delivered, and how long the SAP and the employer must each keep them. This article organizes those requirements as a quick reference. For a narrative explanation, see What Information Is Included in a SAP Report? and How Long Must a SAP Keep Records?

Report Delivery Rules

Direct Delivery Requirement: The SAP must send written reports directly to the employer's Designated Employer Representative (DER), not through a third party for forwarding, though the SAP may send the report simultaneously to the DER and to a C/TPA. The employer must receive the report directly from the SAP, unaltered by any third party.
Delivery to the Employee: If the employee has no current employer, the SAP must also provide reports directly to the employee.
Delivery to a New Employer: If the employee obtains a new safety-sensitive position with a different DOT-regulated employer, the SAP must provide reports to that new employer as well.

Required Contents by Report Type

Report Type	Required Contents
Initial Evaluation Report	Employee name and SSN or employee ID; employer name and address; the specific DOT violation and its date; the date(s) and format (face-to-face or remote) of the assessment; the SAP's education or treatment recommendation; and the SAP's phone number. Must be prepared on the SAP's own letterhead and signed and dated.
Follow-Up Report, Successful Compliance	Employee name and ID; employer name and address; the reason for the initial assessment; date(s) and format of the initial assessment and a synopsis of the treatment plan; the name of the practice or service providing education or treatment; the inclusive dates of program participation; a clinical characterization of the employee's participation; the SAP's determination of successful compliance; the follow-up testing plan; any continuing care needs or recommendations; and the SAP's phone number.
Follow-Up Report, Non-Compliance	The same categories of information as a successful compliance report, plus the dates of the first follow-up evaluation, the dates of any further scheduled follow-up, and the SAP's clinical reasons for the non-compliance finding.

Recordkeeping Requirements

SAP Recordkeeping: The SAP must keep copies of reports for 5 years, maintain clinical records as required by applicable law, and make records available to DOT agency representatives and the National Transportation Safety Board (NTSB) upon request.
Employer Recordkeeping: The employer must keep SAP reports for 5 years from the date the report was received.

Applicable Regulations

49 CFR § 40.311, SAP report requirements

Professional Observation

In my experience, one issue I often see is confusion about who is allowed to receive a SAP report. The rule is direct delivery to the DER, with a simultaneous copy to a C/TPA permitted, but not delivery through any other intermediary. Employers who route their SAP reports through the wrong party can create a documentation gap that becomes a problem later, especially if a record is ever requested by a DOT agency or the NTSB.

Primary Authorities

49 CFR § 40.311, SAP report requirements

Have a Question About Your SAP Report?

If you need clarification about what your SAP report should contain or how it will be delivered, a DOT qualified Substance Abuse Professional can walk you through the requirements.

Schedule a Consultation

Reviewed by: Perret deLapouyade, CEAP, SAP
Reviewed date: July 12, 2026
Updated date: July 12, 2026
BOK ID: BOK-0099