In response to several substance abuse professional (SAP) and return-to-duty (RTD) process issues, the USDOT published reminders to SAP and DOT-regulated employers.
The reminders appeared in a Federal Register notification on March 4, 2026, “The Do’s and Don’ts for the Substance Abuse Professional and the Return-to-Duty Process in the U.S. Department of Transportation Drug and Alcohol Testing Program.”
In the notice, SAPs are instructed to follow all RTD procedures when evaluating DOT-covered employees, and DOT employers are reminded of SAP responsibilities and the RTD process. USDOT may initiate a Public Interest Exclusion (PIE) proceeding for any SAP found to be in serious noncompliance. When placed on the PIE list, the SAP is prevented from performing services related to DOT drug and alcohol testing.
Why a list of reminders for SAPs?
The USDOT has previously provided reminders to SAPs as issues came to light, so this recent action isn’t unique. This newest March 2026 notification is the result of the USDOT learning of recent issues related to SAPs’ roles and responsibilities, including:
- Employers having trouble in getting the follow-up testing plans from SAPs;
- SAPs referring employees solely to online programs as opposed to in-person programs, as appropriate;
- SAPs prescribing the minimum number of follow-up tests in response to pressure from consortium/third-party administrators (C/TPA) or risk being removed from the C/TPA’s list of recommended SAPs;
- SAPs administering follow-up tests;
- SAPs not holding an appropriate credential to act as a DOT-qualified SAP;
- SAPs performing the RTD process in a very short timeframe to get the employee back to work quicker;
- SAPs going outside their credential’s geographical limit to perform remote evaluations; and
- SAPs performing remote evaluations without real time two-way audio and visual communication with the employee.
Key points for SAPs
The USDOT provided several key points for SAPs to take action on in the Federal Register notice, including the following:
- SAPs must hold and maintain required qualification requirements, including ongoing professional development credits.
- SAP evaluations must:
- Be done face-to-face (whether in-person or remote);
- Delve into the employee’s emotional and mental health and history of drug and alcohol use;
- Provide a diagnosis, treatment recommendations, and a treatment plan that the employee must complete before becoming eligible for the required follow-up evaluation and subsequent return to safety-sensitive functions;
- Result in a recommended course of education or treatment unique to each employee;
- Never result in promises to “fast track” the process; and
- Never provide employees with an estimated RTD timeline before conducting an initial SAP evaluation and assessment.
- SAP reports:
- Must include all required elements;
- Must be securely retained for at least 5 years from the date of the second report;
- Must be provided to the employer or subsequent employer when requested; and
- Can be provided to the employee upon request if the follow-up testing plan is redacted.
When are the RTD steps required?
The RTD process applies to employees who test positive, refuse a test, or violate other DOT agency testing rules. The covered employee is removed from safety-sensitive functions (SSFs) and must successfully complete the program prior to resuming SSFs.
SAPs play an important role as “gatekeepers” for DOT’s RTD process, taking on the roles of evaluation, referral, and treatment of employees. The SAP’s decisions determine whether an employee returns to operating a commercial motor vehicle, plane, oil tanker, train, subway, or controls the valves of a natural gas pipeline. The SAP also decides on the number of follow-up drug and/or alcohol tests over what duration of time after returning to duty.
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Original article published by J. J. Keller & Associates, Inc.