Short Answer

During the follow up SAP assessment, the same SAP who completed the initial evaluation confers with the employee's education or treatment provider (or reviews documentation), conducts another clinical interview with the employee, and determines whether the employee has successfully complied with the original recommendation. The SAP then sends a written report of that determination to the employer. 49 CFR § 40.301

Detailed Explanation

Confirming Compliance With the Original Recommendation

The follow up evaluation is not a fresh assessment starting from zero. Its purpose is to determine whether the employee actively participated in, and successfully complied with, the education or treatment program the SAP originally recommended. To make that determination, the SAP typically confers with the treatment or education provider, reviews documentation of participation, and conducts a clinical interview with the employee. 49 CFR § 40.301

Notably, successful compliance can be found even if the employee is continuing outpatient counseling or aftercare. The regulation does not require that all treatment be finished before an employee can be found successfully compliant. 49 CFR § 40.301

Two Possible Outcomes

If the SAP determines the employee successfully complied, the SAP sends a written report to the DER confirming that finding, along with a follow up testing plan and any continuing care recommendations. If the SAP determines the employee did not successfully comply, the SAP must notify the DER in writing, and the employer must not return the employee to safety sensitive duty. 49 CFR § 40.301

Successful Compliance Does Not Guarantee Reinstatement

A successful follow up evaluation makes the employee eligible to move forward in the Return to Duty process. It does not, by itself, obligate the employer to reinstate or rehire the employee. 49 CFR § 40.301 Reinstatement decisions involve employment considerations separate from the SAP's clinical determination.

Applicable Regulations

• 49 CFR § 40.301, describing the follow up evaluation process and its two possible outcomes

Professional Observation

Many drivers assume that finishing a treatment program automatically produces a passing follow up evaluation. In my experience, the SAP is looking at active participation and documented compliance, not just attendance. Employees who stay engaged with their program and keep good records of participation generally have a smoother follow up evaluation.

Common Misconceptions

Misconception

An employee must complete all recommended counseling before the follow up evaluation can find successful compliance.

Reality

Successful compliance can be found even while an employee continues outpatient counseling or aftercare. 49 CFR § 40.301

Why the Confusion Occurs

Ongoing aftercare can sound like unfinished business, but the regulation distinguishes between the specific program recommendation the SAP referred the employee to and any longer term supportive care that may continue afterward.

Frequently Asked Questions

What happens if the follow up evaluation finds I did not comply?

The SAP must notify the DER in writing, and the employer must not return you to safety sensitive duty at that point. Ask your SAP what specific steps would be needed to reach successful compliance going forward.

Does the follow up evaluation involve drug or alcohol testing itself?

No. The follow up evaluation is a clinical determination. Testing requirements, including the Return to Duty test and the follow up testing plan, are separate steps addressed elsewhere in this library.

Related Articles

• What Happens During the Initial SAP Assessment?
• What Information Is Included in a SAP Report?
• What Are the Employee's Responsibilities During the SAP Process?

Primary Authorities/Sources

• 49 CFR § 40.301, follow up evaluation

Preparing for Your Follow Up Evaluation?

If you are approaching your follow up SAP evaluation, understanding what the SAP will review can help you prepare.

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