Short Answer

49 CFR § 40.311 sets the content and delivery requirements for the Substance Abuse Professional's (SAP) written reports: the initial evaluation report, the follow up report finding successful compliance, and the follow up report finding non-compliance. It also requires the SAP to send reports directly to the employer's Designated Employer Representative (DER) without alteration by any third party, and it sets five year record retention requirements for both the SAP and the employer.

Detailed Explanation

Paragraphs (a) and (b): Reports Must Go Directly to the DER, Unaltered

The SAP must send written reports directly to the DER rather than through a third party for forwarding, though the SAP may send a report simultaneously to the DER and to a Consortium/Third Party Administrator (C/TPA). The employer, in turn, must receive these reports directly from the SAP, unaltered by any third party along the way.

Paragraph (c): The Initial Evaluation Report

The initial evaluation report, prepared on the SAP's own letterhead and signed and dated, must include the employee's name and Social Security number or employee identification number; the employer's name and address; the reason for the assessment, meaning the specific DOT violation and its date; the date or dates and format of the assessment (face to face or conducted remotely); the SAP's education or treatment recommendation; and the SAP's phone number.

Paragraph (d): The Successful Compliance Follow Up Report

A follow up report finding successful compliance must include the employee's name and identification number; the employer's name and address; the reason for the initial assessment; the date or dates and format of the initial assessment along with a synopsis of the treatment plan; the name of the practice or service that provided 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.

Paragraph (e): The Non-Compliance Follow Up Report

A follow up report finding non-compliance must include similar items to the successful compliance report, plus the dates of the first follow up evaluation, the dates of any further scheduled follow up evaluation, and the SAP's clinical reasons for the non-compliance finding.

Paragraph (f): Reports to the Employee or a New Employer

The SAP must also provide reports directly to the employee if the employee has no current employer, and to a new DOT regulated employer if the employee obtains a new safety sensitive position. This ensures the employee's record and requirements follow them even through a change in employment status.

Paragraphs (g) and (h): Five Year Retention Requirements

The SAP must keep copies of these reports for five years, must maintain clinical records consistent with applicable law, and must make records available to DOT agency representatives and the National Transportation Safety Board (NTSB) on request. The employer, separately, must keep the SAP's reports for five years from the date the employer received them.

Applicable Regulations

49 CFR § 40.311 specifies the content requirements for the SAP's initial, successful compliance, and non-compliance reports, the requirement that reports reach the DER directly and unaltered, and the five year retention obligations placed on both the SAP and the employer.

Professional Observation

In my experience, the level of specific detail 40.311 requires in each report type is easy to underestimate. A report missing a required element, such as the dates and format of the assessment or the specific reason tied to the DOT violation, can create confusion for the employer or delay the process. Keeping a checklist tied directly to the paragraph (c), (d), and (e) requirements tends to prevent that problem.

Common Misconceptions

Misconception

A C/TPA can review or revise a SAP's report before it reaches the employer.

Reality

The SAP must send the report directly to the DER, and it must reach the employer unaltered by any third party. A SAP may send a report simultaneously to the DER and a C/TPA, but that does not permit the C/TPA to change its content.

Why the Confusion Occurs

Because C/TPAs often handle administrative coordination throughout the Return to Duty process, it is easy to assume they play a similar role in the SAP's reporting, when the regulation specifically preserves the direct, unaltered path from the SAP to the DER.

Frequently Asked Questions

How long must an employer keep a SAP's report?

Five years from the date the employer received the report, under paragraph (h).

What happens to the SAP's reports if the employee no longer has an employer?

Under paragraph (f), the SAP must provide reports directly to the employee if the employee has no current employer, and to a new DOT regulated employer if the employee later obtains a new safety sensitive position.

Can NTSB or a DOT agency request a SAP's records?

Yes. Paragraph (g) requires the SAP to make records available to DOT agency representatives and the NTSB on request.

Related Articles

• What Information Is Included in a SAP Report?
• How Long Must a SAP Keep Records?
• What Documentation Must an Employer Keep?
• What Does 49 CFR 40.301 Require?

Primary Authorities

• 49 CFR § 40.311, SAP report requirements

Questions About What Your SAP Report Should Contain?

A DOT qualified SAP can explain how these documentation requirements apply to your specific evaluation.

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