---
kind: "section"
citation: "49 C.F.R. § 40.301"
title: "49"
number: "40.301"
heading: "What is the SAP's function in the follow-up evaluation of an employee?"
url: "https://uscodex.org/cfr/49/40.301"
---

# §40.301. What is the SAP's function in the follow-up evaluation of an employee?

- (a) As a SAP, after you have prescribed assistance under [§ 40.293](/cfr/49/40.293.md), you must re-evaluate the employee to determine if the employee has successfully carried out your education and/or treatment recommendations.
  - (1) This is your way to gauge for the employer the employee's ability to demonstrate successful compliance with the education and/or treatment plan.
  - (2) Your evaluation may serve as one of the reasons the employer decides to return the employee to safety-sensitive duty.
- (b) **As the SAP making the follow-up evaluation determination, you must—**
  - (1) Confer with or obtain appropriate documentation from the appropriate education and/or treatment program professionals where the employee was referred; and
  - (2) Conduct a clinical interview meeting the requirements of [§ 40.291(a)(1)](/cfr/49/40.291.md?p=a-1) with the employee to determine if the employee demonstrates successful compliance with your initial evaluation recommendations.
- (c)
  - (1) If the employee has demonstrated successful compliance, you must provide a written report directly to the DER highlighting your clinical determination that the employee has done so with your initial evaluation recommendation (see [§ 40.311(d)](/cfr/49/40.311.md?p=d)).
  - (2) You may determine that an employee has successfully demonstrated compliance even though the employee has not yet completed the full regimen of education and/or treatment you recommended or needs additional assistance. For example, if the employee has successfully completed the 30-day in-patient program you prescribed, you may make a “successful compliance” determination even though you conclude that the employee has not yet completed the out-patient counseling you recommended or should continue in an aftercare program.
- (d)
  - (1) As the SAP, if you believe, as a result of the follow-up evaluation, that the employee has not demonstrated successful compliance with your recommendations, you must provide written notice directly to the DER (see [§ 40.311(e)](/cfr/49/40.311.md?p=e)).
  - (2) As an employer who receives the SAP's written notice that the employee has not successfully complied with the SAP's recommendations, you must not return the employee to the performance of safety-sensitive duties.
  - (3) As the SAP, you may conduct additional follow-up evaluation(s) if the employer determines that doing so is consistent with the employee's progress as you have reported it and with the employer's policy and/or labor-management agreements.
  - (4) As the employer, following a SAP report that the employee has not demonstrated successful compliance, you may take personnel action consistent with your policy and/or labor-management agreements.

## Notes

### Amendments

[65 FR 79526, Dec. 19, 2000, as amended at 88 FR 27650, May 2, 2023]

### Authority

Authority: 49 U.S.C. 102, 301, 322, 5331, 20140, 31306, and 54101 et seq.

### Source

Source: 65 FR 79526, Dec. 19, 2000, unless otherwise noted.

### Amendments

[65 FR 79526, Dec. 19, 2000, as amended at 88 FR 27650, May 2, 2023]