---
kind: "section"
citation: "49 C.F.R. § 40.299"
title: "49"
number: "40.299"
heading: "What is the SAP's role and what are the limits on a SAP's discretion in referring employees for education and treatment?"
url: "https://uscodex.org/cfr/49/40.299"
---

# §40.299. What is the SAP's role and what are the limits on a SAP's discretion in referring employees for education and treatment?

- (a) As a SAP, upon your determination of the best recommendation for assistance, you will serve as a referral source to assist the employee's entry into an education and/or treatment program.
- (b) To prevent the appearance of a conflict of interest, you must not refer an employee requiring assistance to your private practice or to a person or organization from which you receive payment or to a person or organization in which you have a financial interest. You are precluded from making referrals to entities with which you are financially associated.
- (c) **There are four exceptions to the prohibitions contained in paragraph (b) of this section.** You may refer an employee to any of the following providers of assistance, regardless of your relationship with them:
  - (1) A public agency (e.g., treatment facility) operated by a state, county, or municipality;
  - (2) The employer or a person or organization under contract to the employer to provide alcohol or drug treatment and/or education services (e.g., the employer's contracted treatment provider);
  - (3) The sole source of therapeutically appropriate treatment under the employee's health insurance program (e.g., the single substance abuse in-patient treatment program made available by the employee's insurance coverage plan); or
  - (4) The sole source of therapeutically appropriate treatment reasonably available to the employee (e.g., the only treatment facility or education program reasonably located within the general commuting area).

## Notes

### Authority

Authority: 49 U.S.C. 102, 301, 322, 5331, 20140, 31306, and 54101 et seq.

### Source

Source: 65 FR 79526, Dec. 19, 2000, unless otherwise noted.