What the SAP reviews at the follow-up evaluation
Under 49 CFR 40.301, the SAP must determine whether the employee has successfully carried out the education and/or treatment recommendations made after the initial evaluation. The SAP must confer with or obtain appropriate documentation from the education or treatment professionals involved and conduct a clinical interview with the employee.
The question is not merely whether a class was attended or a receipt was produced. The SAP makes the regulatory determination of whether the employee has demonstrated successful compliance with the SAP's recommendations.
What happens if the SAP finds successful compliance
If successful compliance is demonstrated, the SAP sends the required written report to the employer's designated employer representative. The SAP also establishes the follow-up testing plan required by Part 40.
This does not itself return the employee to safety-sensitive work. Under 49 CFR 40.305, if the employer decides it wants to permit a return to safety-sensitive functions, the employer must ensure that the employee completes the required return-to-duty test with the necessary negative drug result and/or alcohol result below 0.02.
If compliance has not yet been demonstrated
If the SAP determines that the employee has not successfully complied, the SAP reports that result to the employer and the employer must not return the employee to safety-sensitive duties. Part 40 permits additional follow-up evaluations in appropriate circumstances when consistent with the employee's progress, employer policy and any applicable labor-management agreement.
The SAP who made the determination, rather than a directory, testing provider or employer, evaluates successful compliance with the prescribed education or treatment.
Do not confuse the evaluation with follow-up testing
The follow-up testing program begins after the later return to safety-sensitive duty. Under 49 CFR 40.307, the SAP must prescribe at least six unannounced follow-up tests during the first 12 months of safety-sensitive duty after return. Those tests are separate from the SAP follow-up evaluation and from the return-to-duty test.
The actual testing dates must not be provided to the employee. Calendar time away from safety-sensitive work also should not be mistaken for completing the first 12 months of required safety-sensitive-duty follow-up testing.