The DOT Return-to-Duty Process: What Trucking Employers Must Do After a Failed Drug or Alcohol Test

Misti Luke, LCSW
Jan 16
5 min read

In the trucking industry, safety is not optional, it is both a legal and operational requirement. When a driver or other safety-sensitive employee fails a DOT drug or alcohol test, employers must follow specific, federally mandated steps to remain DOT compliance and protect public safety.

Understanding what to do next helps trucking business owners avoid costly mistakes, regulatory violations, and unnecessary downtime. This guide explains what employers must do, must not do, and how the DOT return-to-duty (RTD) process works after a failed test.

Immediate Removal From Safety-Sensitive Duties

Once an employer is notified of a positive, adulterated, or substituted DOT drug test, or an alcohol test result of 0.04 or higher, the employee must be immediately removed from all safety-sensitive functions.

This requirement comes directly from federal DOT regulations and applies regardless of seniority, past performance, or employment status.

Safety-sensitive duties include operating commercial motor vehicles and any function where impairment poses a serious risk. According to the National Highway Traffic Safety Administration, alcohol or drugs contribute to a significant percentage of fatal truck crashes, reinforcing why strict compliance is essential.

A failed or refused DOT drug or alcohol test is reported to the DOT Clearinghouse by the Medical Review Officer (MRO), the drug testing provider or consortium, or the employer, depending on the situation. Once the violation is entered into the Clearinghouse, the driver is marked as prohibited from performing safety-sensitive duties, and this status is accessible to law enforcement and state driver licensing agencies nationwide.

Providing SAP Contact Information

After removal from duty, whether the employer chooses to terminate employment or allow the employee an opportunity to return, employers are required under 49 CFR Part 40 to provide the employee with contact information for at least two qualified Substance Abuse Professionals (SAPs).

The SAP must be independent and fully DOT-qualified. Their role is to evaluate the employee, determine what education or healthcare treatment is required to resolve a substance use issue, and oversee the DOT federally mandated return-to-duty process.

Providing proper SAP contact information ensures the employee has a clear, compliant path forward while protecting the employer from liability and this applies for employers who terminate the driver as well as for employers who do not terminate the driver.

Understanding the DOT Return-to-Duty Process

A failed DOT drug or alcohol test does not end a driver’s career. However, returning to safety-sensitive work requires completing the first five (5) of the six (6) DOT return-to-duty steps.

Initial SAP Evaluation

The process begins with an initial evaluation conducted by a DOT-qualified SAP. This evaluation may be completed in person or via telehealth, when permitted.

During this assessment, the SAP evaluates the nature and severity of the substance-related issue and determines appropriate education or treatment requirements.

Education or Treatment

Based on the evaluation, the SAP will recommend a specific education or treatment plan. The employee must successfully complete all SAP recommendations before progressing further in the return-to-duty process.

Employers should understand that:

Completion timelines vary by individual
Skipping steps is not permitted
The SAP, not the employer, controls this phase, which encompasses the first four (4) steps of the DOT return-to-duty process

Follow-Up SAP Evaluation

After completing all required education or treatment, the employee must return to the SAP for a follow-up evaluation, which can be conducted in person or online.

Only the SAP can determine whether the employee has demonstrated sufficient compliance with SAP recommendations meets criteria to return to safety sensitive duties, at the discretion of the employer.

Return-to-Duty Drug or Alcohol Test

Before resuming any safety-sensitive work, the employee must pass a DOT-observed return-to-duty (RTD) drug or alcohol test.

This test serves as the final verification that the employee is no longer using prohibited substances and meets federal eligibility requirements to return to safety-sensitive duties, meaning they are legally permitted to operate a commercial motor vehicle.

A common misunderstanding among employers is assuming that once an employee completes the first 4 steps of the return to duty process, they are eligible to take a standard pre-employment drug test, especially if they are being hired by a new company. This is not the case.

Under DOT regulations, a driver who has violated DOT drug or alcohol rules must complete a return-to-duty test first, regardless of whether they are returning to their previous employer or starting with a new one. The return-to-duty test cannot be replaced by a pre-employment test.

Federal DOT rules under 49 CFR Part 40 make clear that a return-to-duty test is required after a violation and that the return-to-duty test also satisfies the pre-employment testing requirement when a driver is entering new employment following a violation. Be aware that unlike a pre-employment drug test, a return to duty drug test is observed.

In practical terms, this means:

The driver must complete a DOT-observed return-to-duty test before performing any safety-sensitive work
This requirement applies whether the driver is returning to the same employer or being hired by a new one
The return-to-duty test counts as the pre-employment test
A standard pre-employment drug test alone is not sufficient after a DOT violation and will not lift the hold on the driver's CDL in the Clearinghouse website.

Once the employee passes the return-to-duty test, the employer must log into the DOT Clearinghouse and enter the date the test was successfully completed. This step removes the prohibition and allows the employee’s commercial driving privileges to be reinstated, as applicable.

Failing to follow this requirement, particularly by conducting a pre-employment test instead of a return-to-duty test, is a common compliance error and can result in regulatory violations and penalties.

What Employers Are Not Allowed to Do

To remain compliant with DOT rules enforced by the Federal Motor Carrier Safety Administration, employers must avoid these common mistakes:

❌ Allowing a driver to return to duty without going through the DOT return to duty process.
❌ Conducting their own substance abuse evaluation
❌ Recommending or selecting treatment or education programs
❌ Failing to send the driver for a DOT-observed return-to-duty test
❌ Failing to enter the return-to-duty test date in the Clearinghouse
❌ Failing to send the driver for their follow up drug tests

Even well-intentioned shortcuts can result in serious compliance violations and substantial fines.

Maintaining Confidentiality

Confidentiality is a critical component of the DOT return-to-duty process. Employers must handle all drug test results, SAP reports, and related documentation with strict privacy safeguards.

Improper disclosure can lead to legal exposure, regulatory penalties, and loss of employee trust. Secure recordkeeping and limited access to sensitive information are essential.

How a DOT-Qualified SAP Helps Employers Stay Compliant

If one of your employees is in need of DOT SAP Services, Misti Luke is an experienced DOT-qualified Substance Abuse Professional (SAP) who works with trucking employers and CDL drivers to ensure the return-to-duty process is handled correctly, efficiently, and in full compliance with federal regulations established by the U.S. Department of Transportation.

She assists employers by:

Conducting required DOT SAP evaluations for current or prospective employees
Developing DOT-compliant education or treatment recommendations
Providing clear return-to-duty (RTD) eligibility determinations
Helping employers avoid costly compliance errors by sharing DOT rules and regulations as well as helping them successfully navigate the Clearinghouse website
Provides the employer necessary SAP Reports

Final Thoughts for Trucking Employers

A failed DOT drug or alcohol test can be challenging, for both employers and employees. However, understanding employer responsibilities and following DOT regulations precisely makes the process manageable and compliant.

By acting immediately, adhering to federal requirements, and involving a qualified SAP, trucking employers protect their business, their drivers, and the public.