Understanding the DOT and Non-DOT SAP Process
When an employee receives a positive drug or alcohol test, refuses a test, or otherwise violates a workplace drug and alcohol policy, one of the first questions that should be answered is:
Was this a DOT violation, a non-DOT violation, or are multiple workplace requirements involved?
This distinction is important because DOT and non-DOT cases are not governed by the same requirements.
DOT SAP Cases
A DOT violation involves an employee subject to federal Department of Transportation drug and alcohol testing regulations while performing or associated with a DOT safety-sensitive function. The return-to-duty process is governed by 49 CFR Part 40 along with requirements of the applicable DOT agency, such as FMCSA, PHMSA, FAA, FRA, FTA, or USCG.
When a DOT violation occurs, the employee must be removed from DOT safety-sensitive functions and complete the required SAP process before becoming eligible to return to those duties.
The DOT SAP process generally includes:
An initial evaluation with a DOT-qualified Substance Abuse Professional.
Completion of the SAP's required education and/or treatment recommendations.
A follow-up evaluation with the SAP.
A determination by the SAP regarding successful compliance.
A DOT return-to-duty test initiated by an employer when the employer chooses to move forward with the employee.
A SAP-prescribed follow-up testing plan after the employee returns to DOT safety-sensitive duties.
For FMCSA-regulated commercial drivers, required portions of this process are also documented through the FMCSA Drug and Alcohol Clearinghouse.
Completing the SAP process does not guarantee employment, reinstatement, or placement in a safety-sensitive position. The SAP determines whether the employee has successfully complied with the SAP recommendations; employment decisions remain with the employer.
Non-DOT SAP/SAE Cases
A non-DOT drug or alcohol violation is generally governed by an employer policy, client requirement, contractor program, consortium, drug-free workplace policy, or another industry-specific testing program rather than federal DOT return-to-duty regulations.
Non-DOT cases are particularly common in industries such as oil and gas, drilling and completions, pipeline operations, petrochemical facilities, construction, manufacturing, refining, and other safety-sensitive workplaces.
Depending upon the applicable policy or program, a non-DOT employee may be required to complete an evaluation with a Substance Abuse Professional (SAP), Substance Abuse Expert (SAE), or another appropriately qualified professional before becoming eligible for consideration for return to work.
Unlike DOT cases, there is not one federal regulation equivalent to 49 CFR Part 40 that establishes a single return-to-duty process for every non-DOT employer. Requirements can vary significantly between employers, clients, contractors, and testing programs.
For that reason, the applicable workplace policy and referral requirements should be reviewed before determining the appropriate process.
What About DISA?
Many employees in the oil and gas, petrochemical, refining, pipeline, and contractor workforce participate in drug and alcohol testing programs managed through DISA.
A DISA-related violation should not automatically be assumed to be a DOT violation. DISA-managed programs may include non-DOT requirements established through participating employers or industry programs.
An employee may also have circumstances in which DOT requirements and separate employer, client, or DISA-managed program requirements apply at the same time. When this occurs, each applicable requirement must be identified and appropriately addressed.
This is one reason it is important to provide the SAP with accurate information about the employer, testing program, type of test, DOT agency when applicable, and circumstances surrounding the violation.
DOT or Non-DOT: Why the Difference Matters
Correctly identifying the type of violation affects the entire return-to-duty or return-to-work process.
For a DOT case, federal regulations establish specific SAP requirements that cannot simply be replaced by an employer's preferred procedure.
For a non-DOT case, the employer or program policy may establish requirements that differ from the federal DOT process.
Employees should therefore avoid assuming that completing a drug test, counseling program, online course, or evaluation automatically satisfies every applicable requirement.
The objective is to determine which program applies first and then complete the appropriate process.
Jared Sloan – DOT and Non-DOT SAP/SAE Services
Jared Sloan, SAP, provides DOT and non-DOT SAP/SAE evaluation services for employees and employers throughout Texas and New Mexico, including the Permian Basin and surrounding oil and gas communities.
Services include DOT return-to-duty evaluations, FMCSA Clearinghouse cases, PHMSA and other applicable DOT cases, non-DOT workplace violations, DISA-managed program cases as applicable, employer drug and alcohol policy referrals, and SAP/SAE services for oil and gas and other safety-sensitive workforces.
With extensive SAP/SAE/EAP experience combined with professional HSE and oil and gas industry experience, Jared understands that workplace drug and alcohol cases can involve more than a positive test. Regulatory requirements, employer policies, contractor requirements, client expectations, and safety-sensitive job responsibilities can all affect the appropriate path forward.
The first step is determining whether your situation involves a DOT violation, non-DOT violation, DISA-managed program, employer policy, or a combination of requirements. From there, the appropriate evaluation and compliance process can be identified.
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