Implementation Guidelines - Federal Transit Administration - U.S. ...

Education/Treatment Program
Referral [§40.29(c)(d)]. Refer the
employee to an appropriate education and/or
treatment program that meets the unique
needs of the individual and to the greatest
extent possible will allow the individual to
return to a safety-sensitive position without
undue concern for public safety. An
education/treatment program must be
recommended for every individual that is
assessed. The SAP may not determine that
education/treatment is not required. The
recommendation must be provided to the
employer in a written report.
Follow-up Evaluation [§40.301].
Conduct a face-to-face follow-up evaluation
to determine if the employee has actively
participated in and successfully complied
with the recommended education/treatment
program. This evaluation must be
completed before an employer can return an
employee back to work. The evaluation
should ascertain if the employee has
successfully completed the
education/treatment program, has a
prognosis for success, and has demonstrated
subsequent behavioral changes. The
evaluation must be based upon written
reports from, and personal communication
with, the education/treatment provider and
the employee clinical interview. This
evaluation should not be viewed as a cursory
administrative review, but should determine
if the employee can reasonably be expected
to return to safety-sensitive duties without
undue concern for public safety.
If the SAP determines that the employee
has not demonstrated successful compliance
and remains a risk to public safety, the SAP
must recommend that the employee not
return to duty at that time and the employer
is prohibited from returning the employee to
safety-sensitive job duties. How the
employer responds is the employer’s
Chapter 9. Substance Abuse
Professionals, Rehabilitation, and
Treatment
decision and should be defined in the
employer’s policy and/or labor management
agreements. Thus, some employers may
instruct the SAP to conduct additional
follow-up evaluations while other employers
may take personnel action against the
employee.
If the SAP has determined that the
employee has made sufficient progress, the
SAP may recommend that the employee be
allowed to return to safety-sensitive duties.
In either case, the SAP must provide a
written report to the employer highlighting
the clinical evaluation results, subsequent
recommendation, and if appropriate,
aftercare recommendations.
Return-to-Duty Process [40.305].
Once the SAP has determined that the
employee has successfully complied with
the prescribed education/treatment program,
the employer must make the final decision
about whether the employee will be
permitted to return to the performance of
safety-sensitive functions subject to
company policy and collective bargaining
agreements, as appropriate. If the employee
will be allowed to return to work, the
employer must ensure that the employee
takes a return-to-duty test for drugs, alcohol,
or both. If the employee’s initial test was
positive for drugs, at a minimum the returnto-duty
test must be negative for drugs. If
the employee’s initial test was positive for
alcohol, at a minimum the return-to-duty test
must be an alcohol test with an alcohol
concentration of less than 0.02.
Follow-up Testing Plan [§40.307]. If a
recommendation is made to let the employee
return to duty and the return-to-duty test is
negative, the SAP must develop a follow-up
testing plan for the employee returning to
work. The SAP must determine the number
and frequency of follow-up tests and
whether the tests should be conducted for
9-4 August 2002