Developing Tools for the Random Selection Process

Brian Baker (Cambridge Systematics)

& Mike Redington(US DOT/Volpe Center)

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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? 3rd 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 1st, 3rd and 5th out of 336 questions

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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.” 3

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 the day when safety-sensitive functions are performed.”

Not spread randomly

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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.

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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.”

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Office of Drug and Alcohol Policy and Compliance

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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 655.54 - “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?

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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

12-51 Monthly

52-364 Weekly

>364 Daily • 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

1 - 23 Quarterly

24 - 103 Monthly

104 - 729 Weekly

>730 Daily

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

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How to Determine How Many to Test - Quarterly? Example (random pool size at time of

selection): 1st Qtr – 175 covered employees 2nd Qtr – 225 covered employees 3rd Qtr – 250 covered employees 4th Qtr – 150 covered employeesTotal - 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%)

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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 employeesTotal = 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%)

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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.

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25% & 10%

Are MINIMUM requirements

You may test at a higher rate!!!

Definition - Minimum: the least quantity assignable,

admissible, or possible (Merriam-Webster)

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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) 9.63 22.8 41.4

6 (Bi-Monthly) 9.61 22.6 40.7

12 (Monthly) 9.58 22.3 40.0

52 (Weekly) - 22.1 39.4

365 (Daily) - 22.0 39.4

50% Testing Rate - Monthly

Selected Once, 31.31%

Selected 3 or More Times,

1.20%Selected Twice , 7.49%

Not Selected, 60.00%

25% Testing Rate - Quarterly

Never Tested, 77.20%

Tested More Than Once,

2.90%Tested Once,

19.90%

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 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, Non-

Safety-Sensitive Duties

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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  

1 2 3 4 5 6 7 8 9 10

1 96268 11860 83699 38631 90045 69696 48572 05917 51905 10052

2 03550 59144 59468 37984 77892 89766 86489 46619 50236 91136

3 22188 81205 99699 84260 19693 36701 43233 62719 53117 71153

4 63759 61429 14043 44095 84746 22018 19014 76781 61086 90216

5 55006 17765 15013 77707 54317 48862 53823 52905 70754 68212

6 81972 45644 12600 01951 72166 52682 37598 11955 73018 23528

7 06344 50136 33122 31794 86723 58037 36065 32190 31367 96007

8 92363 99784 94169 03652 80824 33407 40837 97749 18361 72666

9 96083 16943 89916 55159 62184 86206 09764 20244 88388 98675

10 92993 10747 08985 44999 35785 65036 05933 77378 92339 96151 25

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Random Table & 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.cfm

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Random Number Table

Tip: Regenerate prior to Random Selections (Quarterly, Monthly, Weekly, etc.)

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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?

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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”

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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

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Spread Reasonably??

Across the Year Days of Week Times of Day

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Generating Random Charts

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Microsoft Excel