DOT-Qualified SAP Program substance abuse evaluation

 The return-to-duty process includes five steps. They are:

• Initial SAP evaluation
• Treatment/education
• Follow-up evaluation
• Return-to-duty test
• Follow-up testing

Prior to the individual beginning these steps, though, the employer must provide the employee with a listing of acceptable SAPs that includes names, addresses, and phone numbers.

Employers have the option to compile this list themselves or get one from a C/TPA or service agent.

The individual then will use this listing to begin the DOT return-to-duty process.

Who is the SAP?

SAPs are licensed physicians, social workers, psychologists, employee assistance professionals, therapists, or drug and alcohol counselors. Also, they have specific training for the SAP roles and responsibilities.

And they must have specific knowledge on treating and diagnosing drug and alcohol-related disorders.

Given they meet these requirements, they must then pass a test and receive certification as an SAP.

As mentioned, they are responsible for evaluating the individual after a failed drug test and creating a written plan that the employee must follow.

After making this plan, they refer the individual for the determined treatment and education.

 The first step in a DOT SAP evaluation is undergoing an assessment with a Substance Abuse Professional (SAP). The SAP evaluates the extent of a substance use issue and recommends a course of action 

In step 2, the individual must follow the treatment and education plan created for them by the SAP.

Treatment may include inpatient, outpatient, and aftercare services.

Education may include self-help groups, education (like the ones we provide), or community lectures.

If you are in need of drug and alcohol safety sensitive click the link. It will take you to our employee education program specifically designed for that purpose.

If the individual hopes to return to safety-sensitive work, though, she must carry out the course of action just as the SAP prescribed.

 The amount of time between initial and follow-up evaluations depends on the treatment and education plan prescribed to the individual by the SAP. There is no specific time frame laid out in the regulations.

In the follow-up evaluation, the SAP confirms that the individual completed the steps prescribed by them and has complied.

The SAP then can report to the DER that the employee complied with the DOT return-to-duty process. And the DER can use this report as grounds for re-instating the individual.

Then, the SAP determines a follow-up testing schedule as well as a continued treatment plan, if deemed necessary.

If continued treatment is recommended by the SAP, employers have the right to require the individual to complete the treatment recommendations.

In step 4, the individual must take a DOT return-to-duty test for drugs and/or alcohol. The SAP determines whether the individual must take a test for drugs, alcohol, or both. They base this decision on their evaluations with the individual.

To return to safety-sensitive functions, the individual must receive a negative drug test result and/or an alcohol test result of less than 0.02.

However, even if the individual passes the return-to-duty testing process, the employer does not have to return her to work. That is a personnel decision left to the employer.

After passing a return-to-duty test, the individual may return to safety-sensitive functions, thus returning to “employee” status.

As mentioned, the SAP creates a follow-up testing plan for the employee to follow. This plan must include at least six follow-up tests in the first twelve months of the employee returning to safety-sensitive functions.

The SAP can require both drug and alcohol follow-up tests regardless of what the initial drug test failure was for. For example, if the employee failed a drug test, but the SAP determines that the employee also has an alcohol-related problem, they can require both alcohol and drug testing.

Also, the six follow-up tests in the first twelve months is a minimum. The SAP can require more tests in the first year, and they can require more testing be done in the four years after the first. So, follow-up testing can go on for up to five years in total. That’s a good deal of time!

The employer is responsible for making sure that the employee follows this plan. However, the employer cannot impose additional testing on the employee beyond the SAP’s plan.

Also, all follow-up tests should be unannounced and without any discernible pattern. The employee should have no advance notice of each test. If the employee fails any follow-up test, the employer must remove them from safety-sensitive work. The employee must start the return-to-duty process over again.

Along with follow-up testing, the employee should continue to follow the SAP’s continued treatment plan if it was included.

And one more point: other tests can not substitute as follow-up tests. For example, if an employee is selected for a random test, it cannot at the same time count as a follow-up test.

The follow-up testing plan is apart from the regularly scheduled programming (i.e. your company’s DOT drug and alcohol testing program).

To read the full regulations behind the DOT return-to-duty process, you can go to 49 CFR Part 40 Subpart O. This subpart covers the SAP requirements, steps, and employer requirements in the return-to-duty process.

This process can be a headache for both employer and employee. It is lengthy, difficult, and costly. The best advice is to avoid it altogether by not failing a test in the first place. Easier for some than others I suppose, though.

Have any of you ever had to go through the DOT return-to-duty process before? Or have you had an employee go through it? We’d like to hear your experiences with the process. You can let us know by commenting below.