Project Planning & Execution Flashcards

An employee fails the return-to-duty drug test. What must happen next?

Answer: The employee must be removed from safety-sensitive duty and the SAP process begins again from the initial evaluation

A failed return-to-duty test is a new DOT violation; the employee must be removed from safety-sensitive duty and must re-enter the SAP process with a new initial evaluation.

An employee refuses to sign a release of information that the SAP needs to coordinate with the treatment provider. How should the SAP plan around this?

Answer: Inform the employee that without the release the SAP cannot verify treatment compliance and the employer will be notified of non-compliance

Without a signed release, the SAP cannot verify treatment compliance; the SAP must advise the employee that this prevents return-to-duty clearance and constitutes non-compliance for reporting purposes.

An SAP discovers a conflict of interest (e.g., a personal relationship with the employee) after beginning the evaluation. What is the required action?

Answer: Immediately discontinue involvement, refer the employee to another qualified SAP, and notify the employer

DOT regulations require SAPs to avoid conflicts of interest; upon discovering one, the SAP must withdraw from the case, arrange a qualified referral, and inform the employer.

Which of the following scenarios requires the SAP to conduct a new initial evaluation rather than continuing the existing SAP process?

Answer: The employee tests positive for a different substance than the original violation after return to duty

A new DOT drug or alcohol violation (such as a positive test after return to duty) triggers a brand-new SAP evaluation — the prior process is not simply extended.

When planning treatment referrals, which factor is the SAP NOT permitted to consider under DOT regulations?

Answer: The employee's ability to pay for the recommended treatment

The SAP's treatment recommendations must be clinically driven; the employee's financial situation cannot reduce or alter the clinical recommendation, though the employer or EAP may assist with access.

An SAP is asked by the employer to also serve as the employee's ongoing counselor during the follow-up period. What should the SAP do?

Answer: Decline, as serving as both SAP and treating counselor creates a prohibited dual relationship

DOT regulations prohibit the SAP from serving as the employee's treatment provider in the same case, as this dual relationship undermines the objectivity required for the SAP's evaluative role.

An employee presents documentation of treatment completed before the SAP's initial evaluation (pre-evaluation treatment). How should the SAP factor this into the plan?

Answer: Consider prior treatment as clinical information but still make an independent determination of what further education or treatment, if any, is needed

The SAP may take prior treatment into account as part of the clinical picture but must independently determine whether additional education or treatment is required — prior efforts do not automatically satisfy the SAP's post-violation recommendation.