• A company’s DOT drug and alcohol testing policy must contain the FMCSA’s minimum elements to be compliant.
• Employers must provide a copy of the policy to drivers prior to the start of DOT drug and alcohol testing.
• Drivers must sign a statement certifying receipt of the information.

Employers who are subject to Department of Transportation (DOT) drug and alcohol testing under 49 CFR Part 382 must create a policy. By providing this policy to drivers in safety-sensitive positions, companies can ensure drivers know what is expected under a DOT testing program before employees are ever tested. In addition, specific educational materials on the effects of drug abuse and alcohol misuse must be given to the drivers when the policy is provided.

Motor carriers that are subject to DOT testing requirements must create written policies. If employers operate commercial motor vehicles that require a commercial driver’s license (CDL), the company is subject to the requirements.

A DOT drug and alcohol policy must contain, at minimum, the following elements (found in 382.601(b)):

1. The name or title of the individual who can answer driver questions about the materials;
2. The categories of drivers subject to the testing regulations;
3. Sufficient information about the safety-sensitive functions performed by those drivers to make clear what period of the workday the driver will be required to be in compliance;
4. Detailed information on drug and alcohol prohibitions, such as:
   • Alcohol consumption before and during on-duty time;
   • Drugs that will be included in the testing panel; and
   • Thresholds that are considered a positive drug or alcohol test.
5. The different DOT test types under which a driver will be tested for alcohol and/or drugs and circumstances for each, including the criteria for DOT post-accident testing;
6. The procedures that will be used to:
   • Test for the presence of alcohol and controlled substances,
   • Protect the driver and the integrity of the testing processes,
   • Safeguard the severity of the test results, and
   • Ensure that the test results are attributed to the correct driver;
7. The requirement that a driver must submit to alcohol and controlled substance tests required by the regulations;
8. An explanation of what constitutes a refusal to submit to an alcohol or controlled substance test and the consequences of the refusal;
9. The consequences for drivers who have violated the specific prohibitions of the policy, including:
   • The requirement that drivers be removed immediately from safety-sensitive functions, and
   • The substance abuse evaluation and DOT return-to-duty procedures;
10. The consequences for drivers found to have an alcohol concentration of 0.02 or greater but less than 0.04; and
11. Information concerning the effects of alcohol and controlled substance use on an individual’s health, work, and personal life; signs and symptoms of an alcohol or controlled substance problem; and available methods of intervening when an alcohol or controlled substance problem is suspected, including confrontation, referral to any employee assistance program and/or referral to management.
12. Information alerting drivers that the following personal information (collected and maintained under Part 382) will be reported to the CDL Drug and Alcohol Clearinghouse:
    • A verified positive, adulterated, or substituted drug test result
    • An alcohol confirmation test with a concentration of 0.04 or higher
    • A refusal to submit to any test required by Subpart C of Part 382;
    • The employer’s report of actual knowledge, as defined at 382.107, of:
      • On-duty alcohol use (pursuant to 382.205);
      • Pre-duty alcohol use (pursuant to 382.207);
      • Alcohol use following an accident (pursuant to 382.209); and
      • Controlled substance use (pursuant to 382.213);
    • A report from a substance abuse professional of the successful completion of the return-to-duty process;
    • A negative return-to-duty test; and
    • The employer’s report of completion of follow-up testing.

Element #6 would detail both oral-fluid (saliva) and urine specimen drug-testing procedures. The policy should indicate what standing orders have been provided collection sites for each testing method. In other words, which testing method will be used for each reason for testing, along with any orders to use an alternate testing method under specific circumstances.

Employers must provide a copy of these materials to each driver prior to the start of DOT alcohol and controlled substances testing, including new hires and employees transferring into safety-sensitive positions. The policy must be given to contract workers (e.g., owner-operators, staffing service drivers), not just employees on the company’s payroll.

The driver, upon receiving the policy, must sign a statement certifying receipt of the information (required by 382.601(d)). Employers must retain a copy of this signed receipt.

Any additional company policies based on the discretion of the motor carrier (e.g., zero tolerance) may be interwoven into a DOT policy, but policies still may not violate federal or state law. Additional requirements within policies must be clearly and obviously described as being based upon the company’s independent authority, not DOT testing regulations.