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CTBSSP COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS 23 Operator Drug- and Alcohol- Testing Across Modes Sponsored by the Federal Motor Carrier Safety Administration A Synthesis of Safety Practice

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ACRP OVERSIGHT COMMITTEE* TRANSPORTATION RESEARCH BOARD 2009 EXECUTIVE COMMITTE CHAIR OFFICERS James Wilding CHAIR: Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley Independent Consultant VICE CHAIR: Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington VICE CHAIR EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board Jeff Hamiel MinneapolisSt. Paul MEMBERS Metropolitan Airports Commission J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY MEMBERS Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg James Crites Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson DallasFort Worth International Airport Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Richard de Neufville Norfolk, VA Massachusetts Institute of Technology William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles Kevin C. Dolliole Unison Consulting David S. Ekern, Commissioner, Virginia DOT, Richmond John K. Duval Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, University of Beverly Municipal Airport Virginia, Charlottesville Kitty Freidheim Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, MN Freidheim Consulting Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC Steve Grossman Jacksonville Aviation Authority Randell H. Iwasaki, Director, California DOT, Sacramento Tom Jensen Susan Martinovich, Director, Nevada DOT, Carson City National Safe Skies Alliance Debra L. Miller, Secretary, Kansas DOT, Topeka Catherine M. Lang Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore Federal Aviation Administration Pete K. Rahn, Director, Missouri DOT, Jefferson City Gina Marie Lindsey Los Angeles World Airports Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Carolyn Motz Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA Hagerstown Regional Airport Rosa Clausell Rountree, CEOGeneral Manager, Transroute International Canada Services, Inc., Richard Tucker Pitt Meadows, BC Huntsville International Airport Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO EX OFFICIO MEMBERS C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austi Sabrina Johnson Linda S. Watson, CEO, LYNXCentral Florida Regional Transportation Authority, Orlando U.S. Environmental Protection Agency Steve Williams, Chairman and CEO, Maverick Transportation, Inc., Little Rock, AR Richard Marchi Airports Council International--North America Laura McKee EX OFFICIO MEMBERS Air Transport Association of America Thad Allen (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, Washington, DC Henry Ogrodzinski National Association of State Aviation Officials Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT Melissa Sabatine J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT American Association of Airport Executives Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, G Robert E. Skinner, Jr. George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York Transportation Research Board University, Brooklyn; Foreign Secretary, National Academy of Engineering, Washington, DC James E. Caponiti, Acting Deputy Administrator, Maritime Administration, U.S.DOT SECRETARY Cynthia Douglass, Acting Deputy Administrator, Pipeline and Hazardous Materials Safety Christopher W. Jenks Administration, U.S.DOT Transportation Research Board LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC Rose A. McMurry, Acting Deputy Administrator, Federal Motor Carrier Safety Administration, U.S.D Ronald Medford, Acting Deputy Administrator, National Highway Traffic Safety Administration, U.S.DOT Victor M. Mendez, Administrator, Federal Highway Administration, U.S.DOT William W. Millar, President, American Public Transportation Association, Washington, DC Peter M. Rogoff, Administrator, Federal Transit Administration, U.S.DOT Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S.DOT Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC *Membership as of October 2009. *Membership as of October 2009.

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COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS PROGRAM CTBSSP SYNTHESIS 23 Operator Drug- and Alcohol-Testing Across Modes A Synthesis of Safety Practice Consultants DARY FIORENTINO and RANDI SHANNAHAN DF Consulting Van Nuys, California With the support of GENE BERGOFFEN MaineWay Services, Inc. Fryeburg, Maine Subscriber Categories Motor Carriers Safety and Human Factors Research Sponsored by the Federal Motor Carrier Safety Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org

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COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS PROGRAM CTBSSP SYNTHESIS 23 Safety is a principal focus of government agencies and private-sector organiza- Project MC-20 tions concerned with transportation. The Federal Motor Carrier Safety Admin- ISSN 1544-6808 istration (FMCSA) was established within the Department of Transportation ISBN: 978-0-309-22344-7 on January 1, 2000, pursuant to the Motor Carrier Safety Improvement Act of Library of Congress Control Number 2011943708 1999. Formerly a part of the Federal Highway Administration, the FMCSA's primary mission is to prevent commercial motor vehicle-related fatalities and injuries. Administration activities contribute to ensuring safety in motor carrier 2011 National Academy of Sciences. All rights reserved. operations through strong enforcement of safety regulations, targeting high-risk carriers and commercial motor vehicle drivers; improving safety information systems and commercial motor vehicle technologies; strengthening commercial motor vehicle equipment and operating standards; and increasing safety aware- COPYRIGHT INFORMATION ness. To accomplish these activities, the Administration works with federal, state, Authors herein are responsible for the authenticity of their materials and for and local enforcement agencies, the motor carrier industry, labor, safety interest obtaining written permissions from publishers or persons who own the copy- groups, and others. In addition to safety, security-related issues are also receiving right to any previously published or copyrighted material used herein. significant attention in light of the terrorist events of September 11, 2001. Cooperative Research Programs (CRP) grants permission to reproduce Administrators, commercial truck and bus carriers, government regulators, material in this publication for classroom and not-for-profit purposes. Permis- and researchers often face problems for which information already exists, either sion is given with the understanding that none of the material will be used in documented form or as undocumented experience and practice. This informa- to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit Develop- tion may be fragmented, scattered, and underevaluated. As a consequence, full ment Corporation endorsement of a particular product, method, or practice. It knowledge of what has been learned about a problem may not be brought to bear is expected that those reproducing the material in this document for educational on its solution. Costly research findings may go unused, valuable experience may and not-for-profit uses will give appropriate acknowledgment of the source of be overlooked, and due consideration may not be given to recommended prac- any reprinted or reproduced material. For other uses of the material, request tices for solving or alleviating the problem. permission from CRP. There is information available on nearly every subject of concern to commer- cial truck and bus safety. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a system- NOTICE atic means for assembling and evaluating such useful information and to make it available to the commercial truck and bus industry, the Commercial Truck The project that is the subject of this report was a part of the Commercial Truck and Bus Safety Synthesis Program (CTBSSP) was established by the FMCSA to and Bus Safety Synthesis Program conducted by the Transportation Research undertake a series of studies to search out and synthesize useful knowledge from Board with the approval of the Governing Board of the National Research all available sources and to prepare documented reports on current practices in Council. Such approval reflects the Governing Board's judgment that the pro- the subject areas of concern. Reports from this endeavor constitute the CTBSSP gram concerned is appropriate with respect to both the purposes and resources Synthesis series, which collects and assembles the various forms of information of the National Research Council. into single concise documents pertaining to specific commercial truck and bus The members of the technical committee selected to monitor this project safety problems or sets of closely related problems and to review this report were chosen for recognized scholarly competence and The CTBSSP, administered by the Transportation Research Board, began in with due consideration for the balance of disciplines appropriate to the project. early 2002 in support of the FMCSA's safety research programs. The program The opinions and conclusions expressed or implied are those of the research initiates three to four synthesis studies annually that address concerns in the area agency that performed the research, and, while they have been accepted as of commercial truck and bus safety. A synthesis report is a document that sum- appropriate by the technical panel, they are not necessarily those of the Trans- marizes existing practice in a specific technical area based typically on a litera- portation Research Board, the National Research Council, or the Federal Motor ture search and a survey of relevant organizations (e.g., state DOTs, enforcement Carrier Safety Administration of the U.S. Department of Transportation. agencies, commercial truck and bus companies, or other organizations appropri- Each report is reviewed and accepted for publication by the technical ate for the specific topic). The primary users of the syntheses are practitioners panel according to procedures established and monitored by the Transporta- who work on issues or problems using diverse approaches in their individual tion Research Board Executive Committee and the Governing Board of the settings. The program is modeled after the successful synthesis programs cur- National Research Council. rently operated as part of the National Cooperative Highway Research Program The Transportation Research Board, the National Research Council, and (NCHRP) and the Transit Cooperative Research Program (TCRP). the Federal Motor Carrier Safety Administration (sponsor of the Commercial This synthesis series reports on various practices, making recommendations Truck and Bus Safety Synthesis Program) do not endorse products or manu- where appropriate. Each document is a compendium of the best knowledge facturers. Trade or manufacturers' names appear herein solely because they are available on measures found to be successful in resolving specific problems. To considered essential to the clarity and completeness of the project reporting. develop these syntheses in a comprehensive manner and to ensure inclusion of significant knowledge, available information assembled from numerous sources, including a large number of relevant organizations, is analyzed. For each topic, the project objectives are (1) to locate and assemble docu- mented information (2) to learn what practice has been used for solving or alle- viating problems; (3) to identify all ongoing research; (4) to learn what problems remain largely unsolved; and (5) to organize, evaluate, and document the useful information that is acquired. Each synthesis is an immediately useful document that records practices that were acceptable within the limitations of the knowl- Published reports of the edge available at the time of its preparation. The CTBSSP is governed by a Program Oversight Panel consisting of individ- uals knowledgeable in the area of commercial truck and bus safety from a num- COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS ber of perspectives--commercial truck and bus carriers, key industry trade asso- PROGRAM ciations, state regulatory agencies, safety organizations, academia, and related are available from: federal agencies. Major responsibilities of the panel are to (1) provide general oversight of the CTBSSP and its procedures, (2) annually select synthesis topics, Transportation Research Board (3) refine synthesis scopes, (4) select researchers to prepare each synthesis, (5) Business Office review products, and (6) make publication recommendations. 500 Fifth Street, NW Each year, potential synthesis topics are solicited through a broad industry- Washington, DC 20001 wide process. Based on the topics received, the Program Oversight Panel selects new synthesis topics based on the level of funding provided by the FMCSA. and can be ordered through the Internet at: In late 2002, the Program Oversight Panel selected two task-order contractor http://www.national-academies.org/trb/bookstore teams through a competitive process to conduct syntheses for Fiscal Years 2003 through 2005. Printed in the United States of America

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THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the ser- vices of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and prog- ress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board's varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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CTBSSP OVERSIGHT COMMITTEE SYNTHESIS STUDIES STAFF STEPHEN R. GODWIN, Director for Studies and Special CHAIR Programs NORM LITTLER JON M. WILLIAMS, Program Director, IDEA and American Bus Association, Washington, DC Synthesis Studies JO ALLEN GAUSE, Senior Program Officer MEMBERS GAIL R. STABA, Senior Program Officer DONNA L. VLASAK, Senior Program Officer LAMONT BYRD TANYA W. ZWALHEN, Contractor International Brotherhood of Teamsters, Washington, DC DON TIPPMAN, Senior Editor B. SCOTT CLAFFEY CHERYL KEITH, Senior Program Assistant Great West Casualty Company, Bloomington ID DEMISHA WILLIAMS, Senior Program Assistant CHRISTOPHER CREAN DEBBIE IRVIN, Program Associate Peter Pan Bus Lines, Inc., Springfield, MA ALESSANDRO "ALEX" GUARIENTO MV Transportation, Inc., Plano, TX STEPHEN A. KEPLER Commercial Vehicle Safety Alliance, Washington, DC BRENDA LANTZ North Dakota State University, Fargo, ND DEAN NEWELL Maverick Transportation LLC, Little Rock, AR DAVID OSIECKI American Trucking Associations, Arlington, VA E. JAN SKOUBY Missouri Department of Transportation, Jefferson City, MO TOM WEAKLEY OwnerOperator Independent Drivers Association, Grain Valley, MO GREER WOODRUFF J. B. Hunt Transport Services, Inc., Lowell, AR CHRISTOPHER ZEILINGER Community Transportation Association of America, Washington, DC FMCSA LIAISON ALBERT ALVAREZ MARTIN WALKER FHWA LIAISON EWA FLOM JOHN C. NICHOLAS APTA LIAISON GREG HULL AASHTO LIAISON LEO PENNE TRB LIAISON CHARLES W. NIESSNER RICHARD PAIN

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FOREWORD Administrators, commercial truck and bus carriers, government regulators, and research- ers often face problems for which information already exists, either in documented form or as undocumented experience and practice. This information may be fragmented, scat- tered, and underevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviating the problem. There is information available on nearly every subject of concern to commercial truck and bus safety. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day jobs. To provide a systematic means for assembling and evaluating such useful information and to make it available to the commercial truck and bus industry, the Commercial Truck and Bus Safety Synthesis Program (CTBSSP) was established by the Federal Motor Carrier Safety Administration (FMCSA) to undertake a series of studies to search out and synthesize useful knowledge from all available sources and to prepare documented reports on current practices in the subject areas of concern. Reports from this endeavor constitute the CTBSSP Synthesis series, which collects and assembles information into single concise documents pertaining to specific commercial truck and bus safety problems. The CTBSSP, administered by the Transportation Research Board, was authorized in late 2001 and began in 2002 in support of the FMCSA's safety research programs. The program initiates several synthesis studies annually that address issues in the area of com- mercial truck and bus safety. A synthesis report is a document that summarizes existing practice in a specific technical area based typically on a literature search and a survey of relevant organizations (e.g., state DOTs, enforcement agencies, commercial truck and bus companies, or other organizations appropriate for the specific topic). The primary users of the syntheses are practitioners who work on issues or problems using diverse approaches in their individual settings. This synthesis series reports on various practices; each document is a compendium of the best knowledge available on measures found to be successful in resolving specific prob- lems. To develop these syntheses in a comprehensive manner and to ensure inclusion of sig- nificant knowledge, available information assembled from numerous sources is analyzed. For each topic, the project objectives are (1) to locate and assemble documented infor- mation; (2) to learn what practices have been used for solving or alleviating problems; (3) to identify relevant, ongoing research; (4) to learn what problems remain largely unsolved; and (5) to organize, evaluate, and document the useful information that is acquired. Each synthesis is an immediately useful document that records practices that were acceptable within the limitations of the knowledge available at the time of its preparation.

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CONTENTS 1PREFACE 2 CHAPTER ONE OBJECTIVES 3 CHAPTER TWO BACKGROUND 5 CHAPTER THREE TRANSPORTATION WORKPLACE DRUG- AND ALCOHOL-TESTING PROGRAM Reasons for Testing, 5 Drug Testing, 6 Alcohol Testing, 12 Consequences of a Drug or Alcohol Violation, 12 Substance Abuse Professional, 12 Records, 12 13 CHAPTER FOUR SPECIFIC REGULATIONS BY MODE Aviation, 13 Maritime, 14 Motor Carriers, 15 Pipeline and Hazardous Materials, 16 Public Transit, 16 Rail, 17 19 CHAPTER FIVE ALCOHOL- AND DRUG-TESTING STATISTICS Aviation, 19 Maritime, 20 Motor Carriers, 20 Pipelines, 23 Public Transit, 24 Rail, 25 Drug Positivity Rates in Different Workforces, 27 30 CHPATER SIX ALTERNATIVE STRATEGIES Zero-Tolerance Policies, 30 Pre-Employment Alcohol Screening, 31 Pre-Employment Background Check, 31 Alternative Specimens, 31 Higher Random Testing Rates, 38 Longer Preduty Alcohol Abstinence Periods, 38 Consequences for Bacs 0.0200.039, 38 Stricter Postaccident Testing, 39 Stricter Follow-Up Testing, 39 National Database, 40 Driving Record Notations, 40 41 CHAPTER SEVEN SUMMARY AND RESEARCH RECOMMENDATIONS 44REFERENCES

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