1. Developing Tools for the Random Selection Process Brian Baker (Cambridge Systematics) & Mike Redington (US DOT/Volpe Center)

2. How Are We Doing? Most Common Audit Finding (1) –Are random drug and alcohol tests unpredictable - e. g., the tests are conducted at all times of the day when safety sensitive functions are performed? Third Most Common Audit Finding (3) –Are random drug and alcohol tests unpredictable - e. g., the tests are conducted on all days of the week when safety sensitive functions are performed? Fifth Most Common Audit Finding (5) –Are random drug and alcohol tests unpredictable - e. g., the dates for administering random tests are spread reasonably throughout the calendar year? Result of random record reviews 1 st, 3 rd and 5 th out of 336 questions

3. Random Testing Regs –Section 655.45(e) states: “ The selection of employees for random drug and alcohol testing shall be made by a scientifically valid method, such as a random number table or a computer-based random number generator that is matched with employees' Social Security numbers, payroll identification numbers, or other comparable identifying numbers. Under the selection process used, each covered employee shall have an equal chance of being tested each time selections are made.

4. More Regs Section 655.45(g) states: “Each employer shall ensure that random drug and alcohol tests conducted under this part are unannounced and unpredictable, and that the dates for administering random tests are spread reasonably throughout the calendar year. Random testing must be conducted at all times of day when safety-sensitive functions are performed. Not spread randomly

5. Who & How Many? 49 CFR Part 655 –“the minimum annual percentage rate for random drug testing shall be 50 percent of covered employees; the random alcohol testing rate shall be 10 percent” –Each year, the Administrator will publish in the Federal Register the minimum annual percentage rates for random drug and alcohol testing of covered employees. The new minimum annual percentage rate for random drug and alcohol testing will be applicable starting January 1 of the calendar year following publication.

6. Federal Register “The Administrator has determined that the random drug testing rate shall be reduced from 50 to 25 percent for 2007 due to a ‘‘positive rate’’ lower than 1.0 percent for random drug test data from 2003 through 2005.” “Because the random alcohol violation rate was again lower than 0.5 percent for the two preceding consecutive years (0.11 percent for 2004 and 0.11 percent for 2005), the random alcohol testing rate will remain at 10 percent for 2007.”

7. Office of Drug and Alcohol Policy and Compliance

8. Always 25%? 49 CFR Part 655 –If a given covered employee is subject to random drug and alcohol testing under the testing rules of more than one DOT agency for the same employer, the employee shall be subject to random drug and alcohol testing at the percentage rate established for the calendar year by the DOT agency regulating more than 50 percent of the employee's function. –If an FTA-only covered employee is a DOT random selection pool with employees regulated by a DOT Agency with a minimum required rate > 25%, must test at higher rate. –25% is the minimum requirement

9. 25% / 10%.. of What/Who? 49 CFR Part 655 –The employer shall randomly select a sufficient number of covered employees for testing during each calendar year to equal an annual rate not less than the minimum annual percentage rates for random drug and alcohol testing determined by the Administrator. 25%/10% of number of covered employees What if number of covered employees is not constant? –25%/10% At beginning of year? At end of year?

10. How Many to be Selected 49 CFR Part 40 Procedures for Transportation Workplace Drug and Alcohol Testing Programs: Drug and Alcohol Management Information System Reporting

11. How to Determine How Many to Test? Example (random pool size at time of selection): –1 st Qtr – 175 covered employees –2 nd Qtr – 225 covered employees –3 rd Qtr – 250 covered employees –4 th Qtr – 150 covered employees Total - 800 covered employees (800/4) = 200 employees subject to testing 50 = the minimum number of required random drug tests (25%) 20 = the minimum number of required random alcohol tests (10%)

12. How to Section 655.45(e) states: “ scientifically valid method, such as a random number table or a computer-based random number generator”

13. How to Select Who Gets Tested Section 655.45(e) states: “ scientifically valid method, such as a random number table or a computer-based random number generator” Must ensure that your random pool is updated at time of selection –Terminations, New Hires, Transfers, New Duties

14. Random Number Table Random Number Tables: printed table of random numbers, usually made up of several rows and columns of computer generated numbers – To Use the Table select a starting value is chosen by randomly selecting a row and column (e.g., by throwing a dice, blindfolded). work through the table using any previously chosen systematic rule then chooses successive numbers. –suitable rules might be »(1) moving horizontally to the right, skipping alternate numbers, or »(2) moving vertically down, selecting every fifth number. The selected random numbers may then be used, for example, to determine target sequences.

15. TABLE of RANDOM NUMBERS 12345678910 196268118608369938631900456969648572059175190510052 203550591445946837984778928976686489466195023691136 322188812059969984260196933670143233627195311771153 463759614291404344095847462201819014767816108690216 555006177651501377707543174886253823529057075468212 681972456441260001951721665268237598119557301823528 706344501363312231794867235803736065321903136796007 892363997849416903652808243340740837977491836172666 996083169438991655159621848620609764202448838898675 1092993107470898544999357856503605933773789233996151

17. Random Number Generators http://stattrek.com/Tables/Random.aspx http://www.randomizer.org/rrbox.htm http://www.random.org/ http://www.graphpad.com/quickcalcs/rand omN1.cfmhttp://www.graphpad.com/quickcalcs/rand omN1.cfm

18. What are the Rules of Selection? Can a single individual be selected more than once from the pool in a weekly/monthly/quarterly random selection? Are you required to have separate random selections for random drug testing and random alcohol testing?

19. Create Your Own Random Number Generator – Using MS-Excel See Handout

20. Spread Reasonably Across the Year Days of Week Times of Day

34. Generating Random Charts

37. Most Common ‘Mock Urine Collection’ Findings –1) Does the collector write the date on each tamper-evident specimen bottle seal, only after the seals are affixed to the bottles? –2) Does the collector explain the basic collection procedure to the employee and show the employee the instructions on the back of the CCF? Most Common ‘Mock Breath Alcohol Collection’ Finding –1) Did the BAT explain the testing procedure and show the employee the instructions on the back of the Breath Alcohol Testing Form?