Short Answer

49 CFR § 40.287 requires an employer to give an employee who has violated a DOT drug or alcohol regulation a list of Substance Abuse Professionals (SAPs) who are readily available to the employee and acceptable to the employer. The employer must provide this list at no charge to the employee, and it must include names, addresses, and phone numbers so the employee can actually reach a SAP.

Detailed Explanation

What the Employer Must Provide

Once an employee has a DOT violation as defined in 40.285, the employer's obligation under 40.287 is to hand the employee a usable list: SAPs who are readily available to that employee and acceptable to the employer, with contact information sufficient to schedule an appointment. A vague reference to "find a SAP" does not satisfy this requirement; the list needs to include the specific contact details.

No Charge to the Employee

The employer cannot charge the employee for producing or providing this list. This is distinct from the cost of the SAP evaluation itself, which is addressed separately under 40.289 (employers are not required to pay for the evaluation or treatment). The no charge rule in 40.287 applies specifically to the list of SAPs, not to the cost of the SAP services themselves.

Who May Deliver the List

The employer may provide the list directly, or it may be provided through a Consortium/Third Party Administrator (C/TPA) or another service agent acting on the employer's behalf. Either way, the responsibility for making sure the employee actually receives an adequate, usable list rests with the employer.

Applicable Regulations

49 CFR § 40.287 requires the employer to give the employee a list of qualified SAPs, with contact information, at no charge, either directly or through a C/TPA or other service agent.

Professional Observation

In my experience, some employers assume that pointing an employee toward a general internet search satisfies this requirement. It does not. The regulation calls for a specific, usable list of SAPs who are readily available to the employee, and employers who work with a C/TPA typically find it easier to keep that list current and accurate.

Common Misconceptions

Misconception

Because the SAP list must be free, the SAP evaluation itself must also be free.

Reality

Section 40.287 only requires the list of SAPs to be provided at no charge. Whether the employer pays for the SAP evaluation or subsequent treatment is addressed separately, and 40.289 makes clear the employer is not required to cover that cost.

Why the Confusion Occurs

Because both provisions appear close together in Subpart O and both involve the employer's obligations right after a violation, it is easy to conflate "the list is free" with "the whole process is free."

Frequently Asked Questions

Can an employer just give the employee one SAP's name?

The regulation requires a list of SAPs who are readily available to the employee and acceptable to the employer. It's a general practice topic worth confirming with a DOT qualified SAP or C/TPA how many names constitutes an adequate list in a given local market, since 40.287 does not specify an exact minimum number.

Who pays for the SAP evaluation itself?

That question is addressed under 40.289, not 40.287. Payment responsibility for the evaluation and any subsequent treatment is left to the employer, the employee, any applicable labor agreement, or health benefits, since Part 40 does not require the employer to pay.

Related Articles

• What Does 49 CFR 40.285 Require?
• What Are the Employer's Responsibilities During the SAP Process?
• How Do I Choose a DOT SAP?
• What Are an Employer's Responsibilities After a DOT Violation?
• How Do Employers Work With C/TPAs?

Primary Authorities

• 49 CFR § 40.287, What information must the employer give the employee about SAP services?
• 49 CFR § 40.289, Are employers required to provide SAP or treatment services?

Received Your List of SAPs?

Once you have your employer's SAP list, the next step is scheduling your initial evaluation.

Schedule an Initial SAP Assessment