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November 13, 2020 E-Blast

The Clearinghouse is FMCSA Only

There still is confusion about who is (and who isn’t) on the Clearinghouse.  Let me clarify.
First, please repeat after me:  “The Clearinghouse is only for FMCSA drivers.”  (Say this three times!)  😊
Under Federal Transit Administration (FTA) rules, a bus driver for a City Transit System will have a CDL, but that bus driver will not be on the Clearinghouse.  Yes, he has a CDL, but he is not under FMCSA rules.  He is subject to FTA rules and regulations.  Don’t look for an FTA driver on the Clearinghouse, and do NOT tell him to register on the Clearinghouse.  He doesn’t belong there.
A collector must indicate on the CCF (Custody/Control Form) which of the 6 transportation modes the employee is being tested under.  6 boxes for 6 transportation modes.  If the FMCSA box is checked, the MRO will enter the violation on the Clearinghouse.  However, if the FTA box is checked, the MRO will not enter the violation on the Clearinghouse.
If you provide SAP services to a railroad employer, here is one additional thing to keep in mind.  Railroad employees who perform safety-sensitive functions related to the trains are subject to FRA regulations.  But railroads also have employees who are truck drivers who drive Commercial Motor Vehicles that haul heavy equipment.  Those truck drivers are subject to FMCSA regulations, because they perform safety-sensitive functions related to CMVs.  Those truck drivers WILL be on the Clearinghouse.  They are employed by the railroad, but they are under FMCSA rules.  A railroad employer must have two separate testing policies, one for its FRA employees, and one for its FMCSA drivers.

What is meant by 40.311 requiring “employer’s name and address” on a SAP report?

The employer's name and address on your SAP reports should be the name and address of the employer that originally ordered the test.  Where was the employee working at the time he was tested?  The test result is in that employer’s records for 5 years.  That employer’s name and address should be reflected on your SAP report, and it should never be changed.  You will send this report to a new employer (with the employee’s written authorization).  But don’t put the new employer’s name and address on your SAP report.  If that employer is audited, the investigator may want to go back to the employer who ordered the test.  Having that previous employer’s name and address on your SAP report is critical.

What’s happening with employers who are still not on the Clearinghouse?

As you read in the article that I linked in my November 3 email, most FMCSA employers have still not registered on the Clearinghouse.  The deadline for them to be registered, and to conduct an inquiry on all of their drivers is fast approaching.
I am on a few listservs of MROs and C/TPAs, and there is obvious consternation about employers who haven’t yet registered.  Some C/TPAs are taking action, by notifying their employer clients that if they don’t get registered, they will be dropped by the C/TPA for being out of compliance with FMCSA’s rule.
The pressure is on.  The next C/TPA will want to know if they have ever been dropped by a C/TPA, or denied service, and for what reason.  It will be impossible for them to get into another C/TPA unless they are registered. 
What does this mean for SAPs?  You will likely see an uptick in SAP cases.  Employers who aren’t registered are still a loophole.  But as more and more employers finally register on the Clearinghouse, that loophole will tighten.  And that means…more SAP cases!

EAPA Update Trainings and Advanced SAP Symposium on Zoom in December

On Dec 1, Tamara Cagney will be offering a 90-minute Zoom Advanced Symposium.  These Symposiums will be offered monthly.  Because a Symposium focuses on participant experiences, SAPs must have had at least 2 years of SAP experience in order to attend.
On Dec 8, 10, 15 and 17, Tamara will be offering a 14-hour Qualification or Re-qualification Virtual Training, 4 hours each day, 12:00 noon (EST) to 4:00 p.m. (EST).  You must be able to attend all 4.
For information and registration:

Archived e-mails from SAPlist

SAPlist has archived our e-mails.  If you are looking for a specific e-mail, or if you wonder if you’ve received them all, go to

REMINDER: Virtual Assessments

  • Virtual assessments continue until Dec 31.  A virtual assessment must be audio and visual.  You must be able to see and hear the client.  DOT expects you to observe body movements, which I believe requires Zoom or another format, but not Facetime.
  • Since you are making clinical determinations, you are still expected to use assessment instruments.
  • You must indicate on your Follow-up Evaluation Report which format you used in conducting the assessments.

REMINDER: SAP office addresses must be bona fide

Please remember that any office address you list in your SAPlist profile MUST be a real and bona fide office address. You cannot list your private address or a McDonald's in the next city. 

SAPlist UREMINDER: SAPlist U For Your Continuing Ed Requirement

SAPlist U provides 12 hours of continuing education related to DOT's testing rules.  It is endorsed by EACC, NASW, and NBCC.  It’s online, convenient, and you can complete it at your own pace.

Go to SAPlist U Continuing Ed

Have questions? Need assistance?

For questions relating to regulations and SAPlist U, use the "Ask Lee" website form. For all other questions, use our general contact form.
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Until next time,

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Lee Mauk  | and SAPlist U
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