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CFR › Title 49 › Subtitle A › Part 40 › Subpart O › Section 40.301

49 CFR 40.301 - What is the SAP's function in the follow-up evaluation of an employee?

There is 1 rule appearing in the Federal Register for 49 CFR 40. Select the tab below to view, or View eCFR (GPOAccess)
§ 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, 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 face-to-face clinical interview 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) ).
(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 asssitance. 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) ).
(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.

Title 49 published on 2012-10-01

The following are only the Rules published in the Federal Register after the published date of Title 49.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2012-10-03; vol. 77 # 192 - Wednesday, October 3, 2012
    1. 77 FR 60318 - Procedures for Transportation Workplace Drug and Alcohol Testing Programs: 6-acetylmorphine (6-AM) Testing
      GPO FDSys XML | Text
      DEPARTMENT OF TRANSPORTATION, Office of the Secretary
      Final rule.
      The rule is effective October 3, 2012.
      49 CFR Part 40

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

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United States Code
USC : Title 49 - TRANSPORTATION

§ 102 - Department of Transportation

§ 301 - Leadership, consultation, and cooperation

§ 322 - General powers

§ 5331 - Alcohol and controlled substances testing

§ 20140 - Alcohol and controlled substances testing

§ 31306 - Alcohol and controlled substances testing

§ 45101 - Definition

§ 45102 - Alcohol and controlled substances testing programs

§ 45103 - Prohibited service

§ 45104 - Testing and laboratory requirements

§ 45105 - Rehabilitation

§ 45106 - Relationship to other laws, regulations, standards, and orders

§ 45107 - Transportation Security Administration

USC: Title 49a

§ 1301 note

§ 1434 note

§ 1618a

Title 49 published on 2012-10-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 49 CFR 40 after this date.

  • 2012-10-03; vol. 77 # 192 - Wednesday, October 3, 2012
    1. 77 FR 60318 - Procedures for Transportation Workplace Drug and Alcohol Testing Programs: 6-acetylmorphine (6-AM) Testing
      GPO FDSys XML | Text
      DEPARTMENT OF TRANSPORTATION, Office of the Secretary
      Final rule.
      The rule is effective October 3, 2012.
      49 CFR Part 40