What Happens at a DOT SAP Follow-Up Evaluation?

At the follow-up evaluation, the SAP re-evaluates the employee to determine whether the employee has successfully carried out the SAP's education or treatment recommendations, under 49 CFR 40.301(a). Under 40.301(b), the SAP confers with or obtains documentation from the education or treatment program professionals and conducts a clinical interview with the employee that meets 49 CFR 40.291(a)(1), which permits an in-person or remote interview.

Under 40.301(c), if the employee has demonstrated successful compliance, the SAP sends a written report directly to the DER. The SAP may find successful compliance even though the employee has not completed the full regimen or needs more assistance. The rule's example is an employee who completed a prescribed 30-day in-patient program but has not finished recommended out-patient counseling or should continue in aftercare. Under 49 CFR 40.307(a) and (b), the SAP then sets a written follow-up testing plan and presents it directly to the DER.

Under 40.301(d), if the SAP finds the employee has not demonstrated successful compliance, the SAP gives written notice directly to the DER, and the employer must not return the employee to safety-sensitive duties. The SAP may conduct more follow-up evaluations if the employer determines that doing so is consistent with the employee's reported progress and with the employer's policy or labor-management agreements. The employer may also take personnel action consistent with that policy or those agreements.

Under 49 CFR 40.303, when the SAP believes ongoing services such as treatment, aftercare or support groups are needed after the employee returns, the SAP includes recommendations in the follow-up evaluation report. The employer may require participation as part of a return-to-duty agreement, and an employee who fails or refuses to comply may be subject to disciplinary action by the employer.

The contents of each SAP report are covered in What Is Included in a DOT SAP Report?, and the return-to-duty test that follows is covered in What Is Required Before a Driver Returns to Duty after a DOT Violation?.

SAP listings in the MyDrugTesting.com directory include a View Profile link to the provider's profile page.