A driver who has completed the Substance Abuse Professional (SAP) program and passed their Return-to-Duty (RTD) test can now return to safety-sensitive work. Their FMCSA Clearinghouse status shows “Not Prohibited.” For many fleet managers, this milestone seems like the end of a long process. In reality, it marks the beginning of a critical new phase: the follow-up testing plan.
This period creates a lot of confusion in DOT compliance. If you manage it incorrectly, you risk severe penalties. Missed tests or paperwork mistakes can immediately reset a driver’s status to “Prohibited” and create unnecessary challenges for your operation. Therefore, understanding the rules and your role is essential.
This guide covers exactly what fleet managers must know about follow-up testing plans. You’ll learn about the minimum testing rules, the SAP’s role, and your key responsibilities. To make the content easier to follow, we’ve added clear subheadings and used simple language throughout.
What Is a Follow-Up Testing Plan?
A follow-up testing plan requires a driver to take a series of unannounced drug or alcohol tests after returning to duty. The DOT makes this step mandatory. Without a follow-up testing plan, a driver cannot stay in a safety-sensitive job after a violation.
This process ensures the driver remains drug- and alcohol-free. It helps verify that the education or treatment worked. The plan also provides clear accountability for both the driver and the employer, helping to keep everyone safe.
Who Decides the Plan? The SAP Sets the Rules
Only the Substance Abuse Professional (SAP) designs the follow-up testing plan. During their final evaluation, the SAP reviews each driver’s case and creates a custom plan. Neither the fleet manager nor the company owner can change the SAP’s requirements.
The SAP gives you a written report. This document tells you:
- How long the testing plan must last
- How many tests the driver must take
- If the tests must check for drugs, alcohol, or both
You must follow the SAP’s plan exactly as they describe.
Understanding the “6 in 12” Rule
The DOT has a strict rule for follow-up testing: every driver must complete at least six unannounced follow-up tests in the first 12 months after getting back to work.
Let’s break down what that means and why you must stay compliant.
- Six Tests Minimum: This is the lowest number. The SAP may require more based on their professional judgment and evaluation.
- Twelve Months: This period starts on the day the driver first returns to a safety-sensitive job after a negative RTD test.
- Unannounced: You must not tell the driver when you will test them. These surprise tests make it more difficult for someone to hide drug or alcohol use.
How Long Can a Plan Last?
While the first year involves the most testing, a SAP can order follow-up testing for up to five years. For example, one plan could look like this:
- Year 1: 6 tests
- Year 2: 4 tests
- Year 3: 2 tests
- Year 4: 2 tests
- Year 5: 1 test
You are responsible for tracking and organizing every test over the entire plan.
Your Responsibilities as a Fleet Manager
As the fleet manager, you play a central role in keeping your company compliant. Once you receive the SAP’s report, you must act right away. For best results, you should organize the process, document each step, and ensure your entire team understands what is required.
Scheduling Follow-Up Tests
You must create a random schedule for each test. Never develop a predictable pattern, such as always scheduling on Mondays. Instead, pick different days and surprise times. This approach keeps drivers honest and protects your company.
Ensuring Direct Observation at Every Test
Every follow-up test requires direct observation, with no exceptions. The collector or observer must watch the urine enter the collection cup. This critical step helps prevent tampering. When scheduling, remind the collection site that the test requires direct observation and check that the Chain of Custody Form reflects this.
Documenting Every Follow-Up Test
Create a confidential record for each driver in a follow-up testing plan. Keep the original SAP report and copies of all test results. Good documentation not only helps you track your responsibilities, but it also proves that your company follows DOT regulations in the event of an audit.
Distinguishing Follow-Up Tests from Random Tests
Remember, a follow-up test does not replace a random test, and vice versa. A driver who has a follow-up plan must stay in the random testing pool as well. It is possible for someone to be selected for both kinds of tests in a short period.
What Happens if You Don’t Comply?
Failing to manage a follow-up plan can create big problems for both your driver and your company. Let’s review why it’s so vital to take this phase seriously.
Consequences for Drivers
If a driver misses a scheduled follow-up test, the company must remove them from duty immediately. The Clearinghouse status switches to “Prohibited.” The driver will need to repeat the entire DOT SAP process to regain eligibility.
Consequences for Employers
If a DOT audit finds that you missed a required test, your company faces large fines and potential legal action. The FMCSA considers this a serious violation because it threatens public safety.
Frequently Asked Questions
- Q: Can a driver refuse a follow-up test?
A: If a driver refuses, they face a new violation. This is handled as a positive test or “Refusal to Test,” and the RTD process must start from the very beginning. - Q: Who pays for follow-up testing?
A: DOT regulations do not specify responsibility for payment. Most companies require the driver to pay, but check your company’s written policy. Some companies may cover the cost. - Q: What happens if a driver fails a follow-up test?
A: A failed test starts the entire process over. The driver is removed from safety-sensitive duty, and the positive result is reported in the Clearinghouse. - Q: Can I use our regular random testing provider for follow-up tests?
A: Yes, you can, but you must clearly state the test is a “Follow-Up” and must be directly observed. Double-check that the Chain of Custody Form is correct. - Q: What if the driver quits before finishing the plan?
A: The incomplete follow-up plan remains attached to the driver’s Clearinghouse record. Any new employer will see it and must continue the plan as required.
Conclusion: Start Strong, Stay Compliant
A follow-up testing plan is much more than paperwork. It is an active part of your company’s safety efforts. By building strong processes, using careful scheduling, keeping excellent records, and understanding DOT expectations, you protect your drivers, your company, and the public.
The end of the RTD process should not be your finish line—it should signal the start of ongoing safety and compliance.