The SAP sets the follow-up testing plan
After determining successful compliance with the education and/or treatment recommendation, the SAP establishes a written follow-up testing plan for a person seeking to return to safety-sensitive duties. Under 49 CFR 40.307, the SAP determines the number and frequency of tests and whether the plan involves drugs, alcohol or both, subject to applicable DOT agency rules.
The employer receives the plan and is responsible for carrying it out. The employee is not given the actual testing schedule, and the SAP does not assign specific test dates.
At least six tests are required in the first 12 months of safety-sensitive duty
The federal minimum is six unannounced follow-up tests during the first 12 months of safety-sensitive duty after return. A SAP may require more tests during that period and may continue follow-up testing during the following 48 months of safety-sensitive duty.
The phrase safety-sensitive duty is important. A break from covered work does not necessarily make the remaining testing obligation disappear simply because calendar months have passed. Section 40.307 provides examples in which remaining tests continue after changing employers or returning from a break in service.
Follow-up tests are not random tests or the RTD test
The return-to-duty test occurs before resuming safety-sensitive functions. Follow-up tests occur afterward. They are also separate from an employer's ordinary random testing program. A random test cannot simply be counted as one of the SAP-prescribed follow-up tests.
Employees covered by random testing remain subject to that program in addition to their follow-up obligations. DOT's employer guidance likewise states that employers cannot replace follow-up tests with random tests or alter the SAP's prescribed frequency. For the preceding stage, see return-to-duty drug testing.
Drug follow-up tests require direct observation
When the follow-up requirement is a DOT drug test, the collection must be directly observed. 49 CFR 40.67 specifically identifies follow-up and return-to-duty drug tests as situations requiring direct observation.
The purpose of an unannounced plan would be undermined if the driver knew the test dates in advance. DOT therefore prohibits employers, SAPs and other service agents from providing the employee with the prescribed follow-up testing schedule. General information about the regulatory minimum is public, but an individual's actual schedule should remain confidential.