DOT Safety Policies and Trucking Company Safety Programs

Which written safety policies are required by the DOT?

Only one written policy is directly required for most small carriers: the drug and alcohol policy under 49 CFR 382.601. It applies if your drivers need a CDL. You must give each driver materials that explain the testing rules and your policies before testing starts, and when you hire or transfer a driver into a CDL job.

The materials must name the person who answers driver questions. They must cover who is covered and prohibited conduct, as well as when and how testing happens and what counts as a refusal. They must also explain the consequences of a violation and what gets reported to the Clearinghouse. Each driver must sign a statement that they received the materials. You keep the signed copy.

Policies that aren't required but matter in an audit

Federal rules do not require a written policy for most other topics. But the rules themselves still apply, and you are responsible for your drivers following them. A written policy, plus proof drivers were trained on it, is strong evidence that you manage safety and don't just hope for it.

Here are the policies we usually recommend, with the rule each one supports:

• Hours of service and ELD use: limits, logs, supporting documents and unassigned driving (Part 395)
• Vehicle inspection and maintenance: DVIRs, defect reporting, repairs and annual inspections (Part 396)
• Cell phones and texting: no texting and no hand-held phone use while driving, except to contact police or emergency services (392.80 and 392.82). Carriers may not allow or require either one.
• Seat belts: drivers must be buckled, and so must other occupants where seat belts are installed (392.16)
• Unsafe driving: speeding, following too close and obeying traffic laws (392.2 and 392.6)
• Accident procedures: what drivers do at the scene, post-accident testing and how you record accidents in the register you must keep for 3 years (390.15)

How do safety policies affect your safety rating?

FMCSA rates carriers on whether they have adequate safety management controls in place that actually work. Appendix B to Part 385 explains how. Investigators score six factors: general, driver, operational, vehicle, hazardous materials, and accident rate.

Policies alone don't earn a rating. The investigator looks at your records. But when violations turn up, written policies, training logs and signed acknowledgments help show the problem was a slip, not a missing system. They also give you something real to point to when you explain your fixes.

Using policies in a corrective action plan or rating upgrade

If you fail a new entrant audit or get a Conditional or Unsatisfactory rating, FMCSA wants to see what you changed. A good corrective action plan names the cause of each violation and the specific steps that stop it from happening again.

New or updated policies are often part of that answer, along with training and proof of follow-through. Under 385.17, you can ask FMCSA to change your rating based on corrective actions you've taken. A policy that drivers never saw won't carry much weight. Signed acknowledgments and training records will.

Training and signed acknowledgments

A policy only works if drivers know it. We recommend a short training session for every new hire and whenever a policy changes. Keep a sign-in sheet or a record showing the date, the topic and who attended.

Have each driver sign and date an acknowledgment for every policy. For the drug and alcohol policy, the signed receipt is required. For the others, it is your best proof the driver was told the rule.