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

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?  3 rd 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?  5th 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 2

Random Testing Regs Section (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.” 3

More Regs  Section (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 the day when safety-sensitive functions are performed.”  Not spread randomly 4

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. 5

Federal Register – February, 2007  “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.” 6

Office of Drug and Alcohol Policy and Compliance 7

Always 25% for Each Employer?  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 in 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 for FTA 8

Always 25% for Each Employer?  49 CFR Part “If the employer conducts random drug and alcohol testing through a consortium, the number of employees to be tested may be calculated for each individual employer or may be based on the total number of covered employees covered by the consortium”  If in Consortium, individual employer may not meet minimum random requirement (25% & 10%)  OK – as long as consortium does

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 Random Selection Periods?  ODAPC/DOT – “What makes random testing so effective is the element of surprise. While employees know they will be tested, they are never quite sure of when, so random selections and testing should be performed at least quarterly. Some employers are selecting and testing more frequently. “  FTA – “requiring random testing at least quarterly strikes a reasonable balance”

Suggested Frequencies of Random-number Selections – Implementation Guidelines Random Tests Per Year Frequency of Random-number Selections 1-11*Quarterly 12-51Monthly Weekly >364Daily Small systems that conduct few tests per year may need to conduct more tests to ensure the testing is spread throughout the year

Suggested Frequencies of Random-number Selections – Mike Random Tests Per Year Frequency of Random- number Selections Quarterly Monthly Weekly >730Daily

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 14

How to Determine How Many to Test - Quarterly?  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 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%) 15

How to Determine How Many to Test - Monthly?  Example (random pool size at time of selection): Jan – 175 covered employees Feb – 225 covered employees Mar – 250 covered employees Apr – 150 covered employees May – 200 covered employees Jun – 225 covered employees Jul – 185 covered employees Aug – 225 covered employees Sept – 150 covered employees Oct – 215 covered employees Nov – 225 covered employees Dec – 175 covered employees Total = 2400 covered employees (2400/12) = 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%) 16

How to Determine How Many to Test  You may not know what the final Number of Covered Employees will be.  To make sure you meet the minimum requirement, conduct extra tests early in the year. 17

25% & 10% Are MINIMUM requirements You may test at a higher rate!!! Definition - Minimum: the least quantity assignable, admissible, or possible (Merriam-Webster) 18

Probability of Being Tested at Least Once Testing Rates # of Random Selection Dates 10% Random (Alcohol Minimum) 25% Random (Drug Minimum) 50% Random 4 (Quarterly) (Bi-Monthly) (Monthly) (Weekly) (Daily)

50% Testing Rate - Monthly

25% Testing Rate - Quarterly

Alternates  Allowed, but not encouraged, by FTA  May Result in “Second-Guessing” Puts Decision in Hands of Supervisors

How to Select Who Gets Tested  Section (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, Non- Safety-Sensitive Duties 23

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 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 choose 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 24

TABLE of RANDOM NUMBERS

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Random Table & Random Number Generators     domN1.cfm domN1.cfm 27

Random Number Table  Tip: Regenerate prior to Random Selections (Quarterly, Monthly, Weekly, etc.) 28

What are the Rules of Selection?  Can a single individual be selected more than once from the pool in a daily/weekly/monthly/quarterly random selection?  Are you required to have separate random selections for random drug testing and random alcohol testing? Can you ‘piggyback’ alcohol with drug? 29

Can an employee be selected multiple times in a single random selection period?  “Under the selection process used, each covered employee shall have an equal chance of being tested each time selections are made”  FTA believes.. “employees must have a reasonable expectation that they might be called for a test on any day and at any time they are at work” 30

 It’s OK…but not required, to have duplicate selections (i.e., the same name selected twice in one selection period)  Traditionally employees are removed from the random pool upon selection and are not available to be selected again during that random selection period 31

Create Your Own Random Number Generator – Using MS-Excel See Handout 32

Spread Reasonably??  Across the Year  Days of Week  Times of Day 33

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Generating Random Charts 47