---
kind: "section"
citation: "49 C.F.R. § 40.307"
title: "49"
number: "40.307"
heading: "What is the SAP's function in prescribing the employee's follow-up tests?"
url: "https://uscodex.org/cfr/49/40.307"
---

# §40.307. What is the SAP's function in prescribing the employee's follow-up tests?

- (a) As a SAP, for each employee who has committed a DOT drug or alcohol regulation violation, and who seeks to resume the performance of safety-sensitive functions, you must establish a written follow-up testing plan. You do not establish this plan until after you determine that the employee has successfully complied with your recommendations for education and/or treatment.
- (b) You must present a copy of this plan directly to the DER (see [§ 40.311(d)(9)](/cfr/49/40.311.md?p=d-9)).
- (c) You are the sole determiner of the number and frequency of follow-up tests and whether these tests will be for drugs, alcohol, or both, unless otherwise directed by the appropriate DOT agency regulation. For example, if the employee had a positive drug test, but your evaluation or the treatment program professionals determined that the employee had an alcohol problem as well, you should require that the employee have follow-up tests for both drugs and alcohol.
- (d) However, you must, at a minimum, direct that the employee be subject to six unannounced follow-up tests in the first 12 months of safety-sensitive duty following the employee's return to safety-sensitive functions.
  - (1) You may require a greater number of follow-up tests during the first 12-month period of safety-sensitive duty (e.g., you may require one test a month during the 12-month period; you may require two tests per month during the first 6-month period and one test per month during the final 6-month period).
  - (2) You may also require follow-up tests during the 48 months of safety-sensitive duty following this first 12-month period.
  - (3) **You are not to establish the actual dates for the follow-up tests you prescribe.** The decision on specific dates to test is the employer's.
  - (4) As the employer, you must not impose additional testing requirements (e.g., under company authority) on the employee that go beyond the SAP's follow-up testing plan.
- (e) The requirements of the SAP's follow-up testing plan “follow the employee” to subsequent employers or through breaks in service.
- (f) As the SAP, you may modify the determinations you have made concerning follow-up tests. For example, even if you recommended follow-up testing beyond the first 12-months, you can terminate the testing requirement at any time after the first year of testing. You must not, however, modify the requirement that the employee take at least six follow-up tests within the first 12 months after returning to the performance of safety-sensitive functions.
- (g) As the employer, SAP, or other service agent, you must not provide to the employee a copy of their drug and/or alcohol follow-up testing schedule prescribed by the SAP. No employer, SAP, or other service agent will indicate to the employee what the frequency or duration of the employee's follow-up testing schedule will be. The SAP can require follow-up testing for either or both drugs and alcohol for a drug-related or an alcohol-related violation.

## 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]