Return-To-Duty Process | Willroth Consulting

The SAP Process

DOT Regulations

The Department of Transportation (DOT) plays a critical role in ensuring the safety of all safety-sensitive employees within the transportation industry. These regulations encompass six distinct federal administrations:

Federal Aviation Administration (FAA)
Federal Motor Carrier Safety Administration (FMCSA)
Federal Railroad Administration (FRA)
Federal Transit Administration (FTA)
Pipeline & Hazardous Material Administration (PHMSA)
United States Coast Guard (USCG)

If you're uncertain whether you fall under DOT regulations, you can click here to answer a few questions.

DOT Regulations

The Federal DOT Drug and Alcohol Testing Regulations (49 CFR Part 40) covers:

1. How drug and alcohol testing is conducted

2. Who is authorized to participate in the drug and alcohol testing program

3. What employee's must do before they return-to-duty following a drug and/or alcohol violation

As an employee, when you have violated DOT drug and alcohol regulations, you cannot again perform any DOT safety-sensitive duties for any employer until, and unless, you complete the SAP evaluation.

1. Initial Evaluation

Following an alcohol, drug, or refusal-to-test violation, you will meet face-to-face with a Substance Abuse Professional (SAP) for a clinical assessment. DOT regulations permit this evaluation to be conducted either in person or remotely via video conferencing. However, Willroth Consulting conducts all initial evaluations in person at our Conway, Arkansas, office. During the evaluation, your SAP will discuss the assessment findings and provide recommendations for education and/or treatment. Following the evaluation, your SAP will submit the Initial Evaluation Report directly to your employer’s Designated Employer Representative (DER), with a copy to the C/TPA when applicable. (49 CFR 40.291, 40.311)

2. Complete Education and/or Treatment

Your SAP will refer you to qualified education and/or treatment providers to complete the recommendations from your Initial Evaluation. DOT regulations prohibit a SAP from referring you to a provider in which the SAP has a financial interest, with limited exceptions. During this step, your SAP stays in contact with your provider to monitor your progress and compliance, so you will be asked to sign releases allowing that communication. You may not seek a second SAP evaluation to obtain a different recommendation, and no one other than your SAP may change the recommendations. (49 CFR 40.295, 40.297, 40.299)

3. Follow-Up Evaluation

Once your provider confirms you have completed the recommendations, you return for a face-to-face Follow-Up Evaluation. Your SAP determines whether you have demonstrated successful compliance. Your SAP then submits the written Follow-Up Evaluation Report directly to your employer’s Designated Employer Representative (DER), with a copy to the C/TPA when applicable. When successful compliance is demonstrated, this report includes your Follow-Up Testing Plan and any continuing care recommendations. The decision to return you to work belongs to your employer. (49 CFR 40.301, 40.305, 40.311)

4. Follow-Up Testing Plan

Your SAP establishes a Follow-Up Testing Plan, included in the Follow-Up Evaluation Report, that sets the number and frequency of your follow-up tests and whether they are for drugs, alcohol, or both. The plan requires at least six unannounced tests in your first 12 months back on safety-sensitive duty and may extend up to 60 months. Before you perform any safety-sensitive function, your employer must conduct a Return-To-Duty test with a verified negative drug result and/or an alcohol result below 0.02. All Return-To-Duty and follow-up drug tests are directly observed. Follow-up tests are in addition to random testing, and your plan follows you if you change DOT employers. (49 CFR 40.67, 40.305, 40.307)