The Steps of the SAP Return-to-Duty Process:
1) Initial Evaluation: (completed by the SAP)
In-depth clinical evaluation and treatment recommendations, reported to the employer and/or federal administration. The Initial Evaluation determines what level of care will be recommended, i.e. counseling, outpatient, inpatient treatment or education. If the employee does not successfully complele the Initial Evaluation recommendations, the employee is not eligible to return to safety-sensitive functions.
2) Referral / Recommended Course of Action: (assigned by the SAP)
taking into account, the severity of need, work schedule, location and cost.
3) Follow-Up Evaluation: (completed by the SAP)
to determine if the employee has complied with the Substance Abuse Professional's recommendations. Follow-up testing and an after care plan may be scheduled at this point.
4) Continuing Treatment / Aftercare Recommendation: when appropriate once the employee has returned to a safety-sensitive position.
5) Follow-Up Testing Plan: (provided to the employer by the SAP)
Note: As defined and regulated in 49 CFR Part 40, the Follow-Up Testing Plan is provided to the employer if the SAP determines that the employee has successfully complied with the recommendations. It cannot be released to the employee and is implemented by the employer AFTER the employee is determined as compliant by the SAP and the employer returns the employee to safety sensitive duty.
The items listed above (1-5) are the SAP responsibilities and provided by the SAP.
The items listed below (6 & 7) are the Employer responsibilities and performed by the Employer.
6) Return to Duty Drug Test: (can only be ordered and completed by the employer)
Note: As defined and regulated in 49 CFR Part 40, the employer must order a Return to Duty drug test after receiving the SAP RTD verification of compliance paperwork with the Follow Up Testing Plan for the purpose of establishing eligibility of returning to safety sensitive duty. The employee must test negative in order to be eligible to be reinstated to safety sensitive duty. (Employers are not obligated to hire, or put back to work, employees who are participating in the RTD Process). All FMCSA employers who employ employees who are in the RTD Process MUST enter the negative test result date INTO THE CLEARINGHOUSE (this is Step 5 of the 6 step FMCSA Clearinghouse process).
The SAP only determines compliance with the recommendations, eligibility and readiness for a Return-to-Duty drug test and the Follow Up Testing Plan prescription. The SAP DOES NOT determine anything resembling a "fit for duty" determination. If the SAP reports to an employer that the employee has successfully complied with the recommendations, the employer will decide whether or not to order a return-to-duty test for the employee . (Employers are not obligated to take the employee back and new employers are not obligated to hire employees who are participating in the RTD Process.)
7) Follow-Up Testing Plan Implementation: (can only be performed and completed by the employer)
As defined and regulated in 49 CFR Part 40, the employer must implement the Follow Up Testing Plan as prescribed by the SAP once the employee returns to safety sensistive duty for the purpose of verifying continued compliance with safety sensitive duty. (Employers are not obligated to hire, or put back to work, employees who are participating in the RTD Process). All FMCSA employers who employ employees who are in the RTD Process MUST enter the date of the last Follow Up Test (completion date) INTO THE CLEARINGHOUSE (this is Step 6 of the 6 step FMCSA Clearinghouse process).
The Follow Up Testing Plan is implemented by the employer AFTER the employee is determined as compliant by the SAP and the employer returns the employee to safety sensitive duty.
Note to USCG regulated employees: The Follow Up Plan is NOT to be considered the same testing requirement of 12 months of random screening as often required by the USCG in their "Sweeney Cure" process. The Follow Up Testing Plan is required by 49 CFR Part 40 to be implemented by the employer as outlined in 49 CFR Part 40. In order to setup the 12 month random screening as required by the USCG, employees are instructed to contact an Occupational Medicine drug testing company or Consortium/Third-Party Administrator (C/TPA) to perfom random DOT compliant drug testing.
The SAP has no affiliation with the coast guard and DOES NOT manage any part of the USCG "Cure Process". USCG regulated employees are responsible to ensure their compliance with the USCG Cure Process requirements as instructed to them by their coast guard officer.
If the employee is an owner / operator who contracts driving services then the DOT regulations advise the employee to consult with a Consortium/Third-Party Administrator (C/TPA) to conduct an Return-to-Duty (RTD) test. A C/TPA can ONLY perform a RTD test. A C/TPA CANNOT manage or manage the Follow Up Drug Testing Plan as the regulations are specific to assigning the Follow Up Testing Plan to an EMPLOYER ONLY. That means in order to successfully complete the RTD process a driver must find an employer to conduct the Follow Up Testing Plan (Step 6 of the FMCSA Clearinghouse RTD Process). See the FMCSA's page on C/TPA's here: What Are Consortium/Third-Party Administrators?
Substance abuse treatment (outpatient or inpatient) will be recommended if it is indicated and needed as determined by professional evaluative instruments and guidelines such as the ASAM PPC2 Criteria and DSM 5 severity scales. If treatment is not determined to be needed, then Drug/Alcohol Awareness education in the form of classes, counseling sessions and/or 12 step recovery meeting attendance will be required.
An employee who has not successfully complied with the SAP's recommendation may not return to safety-sensitive functions for any DOT employer until the SAP's recommendations have been fully met and the employee is able to provide a negative return-to-duty test.
