Substance use in the workplace poses major challenges for employers, particularly if a robust program is not already established. For instance, imagine finding out during a random drug test that one of your most dependable employees, who holds a safety-sensitive position, has tested positive. This result would lead to a violation of Department of Transportation (DOT) drug and alcohol testing regulations.
Are you aware of the DOT requirements regarding the Return-to-Duty (RTD) process with a Substance Abuse Professional (SAP) as an employer? Do you know your company’s policies for reinstating an employee after a violation?
Do You Have the Right SAP Support?
Access to qualified DOT Substance Abuse Professionals (SAPs) or a reputable SAP service agent is essential. The DOT requires that all SAPs meet the qualification standards outlined in Part 40, Section 40.281. Employers are ultimately responsible for ensuring that their SAPs are DOT-qualified and equipped to support employees throughout the return-to-duty (RTD) process.
Unverified or improperly vetted SAPs can create unnecessary complications, including delays in the RTD process and compliance issues. Avoid this risk by partnering with trusted experts who can ensure your program operates efficiently and effectively.
The DOT’s “Back to Basics” initiative for Service Agents—including Substance Abuse Professionals (SAPs), Medical Review Officers (MROs), urine collectors, and Breath Alcohol Technicians—emphasizes the importance of strict compliance with established standards. The DOT’s mantra, “Do it right the first time and every time,” underscores the necessity for accuracy and integrity in the process.
Unfortunately, some SAPs lack the necessary qualifications and understanding of their role as “Gatekeepers” in the Return-to-Duty (RTD) process. It’s essential to recognize that the primary client for the SAP is public safety, rather than the employee or employer. This oversight can lead to significant challenges, including safety risks, repeated RTD processes, and potential compliance violations.
Virtual SAP Services: Proceed with Caution
With the option for virtual SAP services via real-time audio and video, the field has seen an influx of unqualified practitioners viewing this as a quick business opportunity. As an employer, it’s critical to partner with trusted Service Agents who prioritize compliance and accuracy. If you offer covered employees a chance to return to work, ensure you direct them to SAPs approved by you—one who is fully qualified and aligned with DOT regulations.
Here are SAP Red Flags to watch for:
- Offering a set timeframe on when an employee will complete the process before having an evaluation.
- Providing recommendations and costs before an initial evaluation.
- SAPs offering ‘phone only’ evaluations.
- Offering cookie-cutter recommendations not unique to the individual.
- Providing counseling and/or treatment themselves instead of referring out.
- Determining the length of follow-up testing before the process begins.
- Sharing the follow-up testing schedule directly with the employee.
Employees should only contact and engage a SAP after designating the SAP in the FMCSA Clearinghouse. Once a SAP is locked into the Clearinghouse, making changes becomes difficult and is not guaranteed.
Employers, employees, and other parties must refrain from influencing the SAP’s recommendations or follow-up testing schedule. The SAP’s role as a gatekeeper ensures that recommendations are based on clinical rationale, prioritizing public safety above all.
Six Steps to Move Employees from “PROHIBITED” to “NOT PROHIBITED“
Here’s a simplified guide to help employers navigate the Return-to-Duty process:
- Immediate Removal from Safety-Sensitive Duties
- Employees with a violation must be immediately removed from safety-sensitive roles, placing them in a “PROHIBITED” status.
- Provide a List of Qualified SAPs
- Employers must provide employees with a vetted list of DOT-qualified SAPs. Ensure these professionals meet all compliance standards. This list may come from a dedicated service agent.
- Employee Meets with the SAP
- The employee schedules an evaluation with a SAP, who assesses the situation and recommends tailored treatment or education. The SAP will provide appropriate resources for completing the required recommendations.
- Completion of Treatment/Education & Follow-Up Evaluation
- After completing the SAP’s recommendations, the employee undergoes a follow-up evaluation to confirm readiness for the RTD test.
- Return-to-Duty Test
- Once the SAP clears the employee, the Designated Employer Representative (DER) arranges an observed RTD test. A negative result allows the employee to resume safety-sensitive duties and now in a “NOT PROHIBITED“ status. For FMCSA owner-operators their Consortium/Third Party Administrator (C/TPA), will arrange the observed RTD test. The RTD test supersedes a pre-employment test only in this instance.
- Follow-Up Testing. Post-return, employees remain subject to unannounced, observed follow-up testing. Employers must complete this testing plan, which may extend for up to five years. Employers are responsible for completing this testing plan and any additional aftercare monitoring required by the SAP to finalize completion of the entire Return-to-Duty process.
Simplify Compliance with Trusted Partners
Navigating DOT compliance requirements can be complex; however, the right partnerships can transform challenges into streamlined solutions. Collaborating with experienced and qualified Service Agents not only simplifies the process but also strengthens your commitment to public safety and employee well-being.
The DOT Return-to-Duty regulation offers a crucial opportunity for employers to adopt Contingency Management strategies. These programs extend beyond mere compliance; they tackle the root causes of substance use issues, empower employees to overcome their challenges, and facilitate a safe return to the workplace. By promoting accountability and support, you can cultivate a culture of trust and safety that benefits everyone involved.
Take compliance seriously — regularly update your DOT policies to ensure they meet current regulations. Collaborating with trusted experts and investing in thorough compliance management can save lives, strengthen your team, and enhance your organization’s reputation.