If you have violated a Department of Transportation (DOT) drug or alcohol regulation, completing an evaluation with a qualified Substance Abuse Professional (SAP) is the first step in the federally required return-to-duty process.
Next Step Consultations provides comprehensive SAP assessments, individualized education and/or treatment recommendations, follow-up evaluations, and guidance through the SAP process.
A DOT violation can feel overwhelming, but the process itself has a defined purpose and structure. We’ll make sure you understand what is required, what comes next, and what you need to do to move forward.
A DOT SAP Assessment is a comprehensive evaluation completed by a qualified Substance Abuse Professional (SAP) after an employee violates a Department of Transportation drug or alcohol regulation.
The SAP evaluates the individual’s substance use history, current circumstances, and relevant biological, psychological, and social factors to determine what education and/or treatment is appropriate.
Following the assessment, the SAP provides an individualized recommendation for education and/or treatment based on the individual’s needs.
DOT drug and alcohol testing regulations cover safety-sensitive employees throughout the transportation industry.
Depending on your position and employer, you may be regulated by one of the following agencies:
Federal Motor Carrier Safety Administration
Regulated motor carriers and commercial drivers including truck, bus, and other commercial vehicle operators. Subject to the FMCSA Clearinghouse.
Federal Aviation Administration
Covers certain safety-sensitive employees in the aviation industry including pilots, mechanics, air traffic controllers, flight attendants, dispatchers, and more.
Federal Railroad Administration
Covers certain safety-sensitive railroad employees such as engineers, conductors, dispatchers, and signal employees.
Federal Transit
Administration
Covers certain safety-sensitive employees working in public transportation including transit operators and maintenance staff.
Pipeline and Hazardous Materials Safety Administration
Applies to certain employees performing covered functions in the pipeline and hazardous materials industry.
United States
Coast Guard
Applies to certain individuals working in the maritime industry, including credentialed mariners and vessel personnel.
Not every bus driver is an FMCSA/Clearinghouse case. Public transit employees may be regulated under FTA and stil be required to complete the DOT SAP process without a record in the FMCSA Clearinghouse.
The SAP process has a defined structure designed to promote public safety and support your return to safety-sensitive duties.
A comprehensive clinical interview and screening tools are used to gather information needed to complete your assessment. Your substance use history, medical and mental health history, employment, relevant legal history, the circumstances surrounding your DOT violation, and other relevant factors will be discussed. The purpose of the assessment is to determine the appropriate education and/or treatment recommendations needed to move forward in the DOT return-to-duty process.
Every individual receives a recommendation based on the clinical assessment. Recommendations vary and may include education, outpatient treatment, intensive outpatient treatment, residential treatment, counseling, support groups, and more. Your SAP will also help you identify appropriate education and/or treatment providers based on factors such as your location, insurance coverage, availability, and scheduling needs.
You must successfully complete the education and/or treatment recommended by your SAP before you can move forward in the return-to-duty process. Getting another SAP evaluation does not erase the violation or allow you to bypass an existing recommendation. Simply waiting does not resolve it either—even if months or years have passed. The violation and return-to-duty requirements remain unresolved until you successfully complete the SAP process.
After completing your recommendation, you will meet with the SAP for a follow-up assessment. The SAP will review your progress and information from your provider to determine whether you have successfully complied with the recommendation. Once the SAP determines that you have successfully complied, you are eligible to move forward in the return-to-duty process and complete the required return-to-duty test. If you have not yet demonstrated successful compliance, additional services may be required before you can proceed.
Once the SAP determines you are eligible to move forward, you must complete the required return-to-duty drug and/or alcohol test and have a negative result, before returning to safety-sensitive duties. If you are starting with a new employer, additional pre-employment testing requirements may also apply. After you return to safety-sensitive work, your employer is responsible for administering the follow-up testing plan established by your SAP. Follow-up testing is unannounced and continues according to the frequency and duration specified by your SAP.
***CDL/CLP Drivers: If your return-to-duty process is subject to the FMCSA Drug & Alcohol Clearinghouse, additional Clearinghouse requirements apply. After the required negative return-to-duty test is reported, your status can change from “Prohibited” to “Not Prohibited.” If your commercial driving privileges were downgraded, you may also need to complete your State Driver Licensing Agency’s reinstatement requirements (ex: IL SOS) before driving commercially.
IMPORTANT: The SAP does not decide whether your employer must rehire you, return you to your former position, or allow you to resume safety-sensitive duties. Those decisions are made by your employer.
Includes the comprehensive initial SAP clinical evaluation and explanation and coordination of individualized education/treatment recommendations. This appointment is scheduled for approximately two hours, although the actual length may vary depending on your individual circumstances.
Completed following the recommended education and/or treatment to determine whether successful compliance has been demonstrated.
Applies when additional SAP services are required beyond the standard assessment process.
For example, if the SAP determines at your follow-up evaluation that you have not yet demonstrated successful compliance, additional education or treatment may be recommended. After completing those additional requirements, another SAP follow-up evaluation may be necessary. Additional SAP services are billed at $150/hour, with a minimum charge of $150 when additional services are required.
Please Note: Costs associated with education, counseling, treatment, support groups, testing, or other outside services are not included in the SAP assessment fee. Those services are provided separately and any applicable fees are paid directly to the provider or organization providing them.
Regulations That Guide the SAP Process
The DOT drug and alcohol testing program is governed by 49 CFR Part 40 – Procedure for Transportation Workplace Drug and Alcohol Testing Programs.
The Substance Abuse Professional and return-to-duty requirements are primarily found in Subpart O.
We’re here to help you understand the process and move forward with confidence.
Be prepared to provide personal information, employer/DER contact information, details about your violation, any available documentation, and payment. If applicable, you should also be able to access your Clearinghouse account.
Some employers require a SAP-style evaluation after a company policy violation even if the test was not DOT. The employer should confirm whether it’s a SAP-style process or a standard professional alcohol and drug evaluation.
Be cautious of claims of “DOT certification” or “DOT-certified SAP” status. The DOT does not certify SAPs. A SAP must instead meet the qualification requirements established under 49 CFR §40.281.