Current status of fatigue countermeasures in the rail industry
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Introduction |
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The Science of Sleep and Fatigue |
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Effects of Fatigue on Performance |
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Technological Countermeasures |
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Past and Current Developments |
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Conclusions |
Introduction
Source: School of Education - University of Denver
The study of the role of fatigue and transportation has a long history.
As early as 1917 a task force of scientists was gathered to study the
effects of fatigue on drivers accidents. Due to the ever changing
complexity of the demands faced by drivers and operators in all modes of
the transportation industry this topic continues to be the focus of
intense study (Sherry, Bart, & Atwater, 1997). Over the past few years
there have been increased efforts to address the problems of fatigue in
the railroad industry. A USDOT/FRA report in 1991 (Pollard, 1991)
identified causes of fatigue. These are: uncertainty about the time of
one’s next assignment, excessive working hours, long commutes and
waiting times before beginning work, unsatisfactory conditions for
sleeping at some terminals, and the decision not to rest during the day
even when subject to call the next night. Suggestions for remedying the
situation included: a minimum of eight hours notice before being called
to work, greater predictability in scheduling trains, division of
assignments according to blocks of time.
A later report by the GAO (GAO, 1992) found that railroads were
essentially complying with the Hours of Service Act. In fact, it was
found that 99.4 % of the time engineers were given at least 10 hours off
duty following a work period of 12 or more hours. Further, the
investigators found no instances in which an engineer received less than
8 hours off duty in any 24-hour period. It was also found that engineers
rarely worked more than two consecutive shifts with fewer than 9 hours
off duty between shifts. The report indicated that reducing the maximum
number of hours allowed per shift from 12 to 10 would have little effect
on the number of accidents that occur. It was found that only 4.5% of
all human factors caused accidents occurred after 10 hours in an
engineer’s shift. The report further cautioned that reducing the
"maximum allowable work/off-duty periods from the current 12 hours on,
10 hours off cycle to a 10-on, 10-off cycle could increase the
variability – the change in work period start times from day to day – of
engineers work cycles." The report cited research that suggested that
variability in work cycle start times disrupt natural human sleep-wake
cycles, which in turn can lead to fatigue.
The GAO study found that more human factor caused rail accidents
occurred from 2 a.m. to 6 a.m. than in any other 4-hour segment.
Incidentally, the accident rate between 2 a.m. and 6 a.m. was higher
than at other times. "The start time variability of engineers work
cycles was quite pronounced during the 2 a.m. to 6 a.m. time period."
The report authors speculated that, " Higher levels of start time
variability increase the likelihood that engineers will experience
fatigue." (GAO, 1992, p. 3)
A study (Kuehn, 1992) of four engineers observed under a normal and a
fatigue work schedule, concluded that a deterioration in engineer
performance, regardless of schedule, coupled with the irregular
sleep/work patterns of the subjects suggest the need for continued
research which focuses on sleep work patterns and performance. While as
a group the study participants did not differ in overall performance
they were observed to incur speed limit infractions, failures to blow
the horn for crossings, rapid throttle changes, and application of
excessive train forces. Thus, specific instances of performance
decrements were observed.
This study was followed up by a more recent study of 55 engineers
monitored while operating on two different railroad work schedules
(Thomas, Raslear, and Kuehn, 1997). The first schedule was designed to
run "faster" than another group running "slower" in terms of frequency
of train operations. Engineers operated trains in a simulator for a
ten-hour shift. Participants had at least an average of 9.3 hours off
duty for the "fast" group and 12 hours off duty for the "slow" group.
Results showed that the "slow" group got about 6.1 hours of sleep per
night compared to 4.6 hours for the "fast". Performance measures
included number of missed horns sounded at crossings and cumulative
pounds of fuel used. Results showed that the "fast" group missed about
one third more horns at crossings than did the "slow" group.
Furthermore, the "fast" group used about 200 pounds more fuel per trip
segment than did the "slow" group.
In 1995 the NTSB and NASA in cooperation with the Department of
Transportation sponsored a symposium on fatigue. The conference was
thought to be a first step in educating diverse groups in the
transportation industry to address the fatigue issue. Dr. Mark Rosekind,
a presenter at the conference summed up the intent of the proceedings in
his introduction: "An important theme expressed throughout the entire
symposium was that there is no magic bullet to eliminate human fatigue
in transportation operations…. Every participant is encouraged to take
some action to educate, address a scheduling issue, use a countermeasure
or apply some piece of knowledge.... to improve transportation safety."
(NTSB, 1995).
Given the previous work in this area and the current legislative climate
it was decided that a detailed study of the current status of fatigue
countermeasures was needed. The purpose of this monograph is to document
the nature of these interventions and to comment on their credibility
from a scientific point of view. In order to make these comments it will
be necessary to first review general principles of fatigue
countermeasures. This will be followed by a discussion of individual
railroad programs.
The Science of Sleep
and Fatigue
Source: School of Education - University of Denver
In depth study of human fatigue has only occurred during the last
twenty-five years. The scientific community has discovered the structure
of sleep, the role of circadian rhythms, and the effects of sleep
deprivation. Researchers have also investigated the benefits of sleep
management including a napping study by Dinges (1995).
Before entering into a discussion of what is known about the science of
fatigue it is important to realize that at this point while much is
known, much is not known. A recent book summarizing the effects of sleep
and performance cited over 400 scientific studies investigating the
topic. Many of these studies examined the effects of sleep, sleep
deprivation, napping, and alertness on performance. However, the results
of these studies do not provide practitioners and employers with a
definite "answer" or "specific treatment" for ways to minimize or
eliminate the effects of fatigue on performance. Science progresses in
an incremental fashion where established ideas, or "common sense", are
subjected to rigorous scrutiny and testing. This rigorous process allows
others, anywhere in the world, to replicate the procedures, methods, and
analyses to verify for themselves the findings that have been reported.
Not surprisingly, however, different experiments in different settings
under different conditions studying the same phenomena can sometimes
produce apparently contradictory results. This is often the case in new
areas of inquiry. The study of sleep is no exception. As will be seen
there are some findings that have raised additional questions.
While the incremental increase in our knowledge progresses steadily,
many questions remain. This is due in part to the fact that scientific
studies are conducted under specific circumstances and conditions. As
studies accumulate there are findings that appear to be consistent with
each other and some findings that are anomalous. The scientific
community attempts to conduct studies that replicate some portion of a
previous study under new and different circumstance. While some results
may be similar to previous studies, other results are not. Thus, in
science it is normal to expect that there are inconsistencies in the
findings of various studies as scientists attempt to discover the
underlying laws and properties of particular phenomena they are
investigating. Anomalies are the driving force of science, things that
we can not understand or explain drive the field forward. However, for
the lay person these inconsistent results may be disconcerting and pose
challenges for practical application.
Thus, while inconsistencies in results may be useful to scientists, the
extent to which they are generalizable to everyday life may vary
depending upon the degree of similarity to actual real world conditions.
Moreover, while several studies have produced clear results in the
laboratory, other findings may be less readily transferred to an actual
work place environment.
One area of confusion is the way to measure fatigue in the workplace.
Many studies rely on several different approaches to determine the
effects of fatigue countermeasures on performance and alertness. It is
common to use both subjective and objective measures of fatigue and
alertness to evaluate the impact of a countermeasure. Multiple measures
allow the investigator to triangulate the truth and produce a more
convincing conclusion, as more information becomes available. For
example, a study by Johnson et al. (1988) used both subjective and
objective measures to assess sleepiness. A correlation between the two
subjective measures was significant at .52. However, the correlation
between the physiological and the subjective measures was only .18, a
non-significant finding. A later study by Kecklund and Akerstedt (1991)
found a significant correlation between subjective measures of fatigue
and EEG alpha burst activity at .38. The correlation between subjective
sleepiness and alpha burst activity was also significantly correlated
with total work hours. Therefore, while measurements of sleepiness may
differ, researchers generally accept that if a person subjectively
states they are tired, they probably are. Additional research is needed
to clarify the circumstances under which some measures are more useful
than others.
Three areas that have been investigated extensively have to do with
clinical sleep disturbances, circadian rhythms, the effects of fatigue
on performance and alertness, and the ways of measuring alertness.
Clinical Sleep Disturbances
Fatigue and alertness can also be affected by the presence of various
biological and physiological conditions that affect sleep and
wakefulness. The disturbances in sleep and wakefulness associated with
working irregular hours are not considered biological or clinical
disturbances of sleep. These pathological disturbances in sleep and
wakefulness must meet various diagnostic criteria in order to qualify as
clinical conditions.
There are several different types of sleep disturbance: insomnia, which
refers to too little sleep; hypersomnia which refers to too much sleep;
and parasomnia which refers to deviation from normal sleep patterns.
Some authorities estimate that about one third of the population suffers
from disturbed sleep (Bixler, Kales, Soldatos, Kales, & Healy, 1976;
Liljenberg, Almquist, Hetta, Roos, Agren, 1988)
According to these specialists, in order to meet the criteria of
chronically disturbed sleep a person must suffer some form of sleep
disturbance at least every other day for a period of three weeks. These
disturbances must involve either taking to much time to fall asleep
(more than 45 minutes), repeated waking (more than 5 times per night),
waking up too early (more than 60 minutes) or getting one and a half
hours less than the required 8 hours of sleep. Moreover, any of these
symptoms must also be accompanied by disturbances in performance or
daytime functioning.
Insomnia is present in about 5 to 6 percent population. In most cases
insomnia is thought to be the result of learned psychological responses.
Persons suffering from insomnia often report high levels of anxiety
associated with worries, traumatic events, or prolonged stress from work
or other sources. Depression is another common source of disturbed
sleep. Depressed patients often report obtaining less sleep, have
difficulty falling asleep, intermittent awakening, and early morning
waking. Treatment usually involves some form of psychological
intervention including cognitive restructuring and relaxation training.
Hypersomnia, the desire for more sleep, usually manifests itself as a
difficulty in staying awake. Criteria for diagnosing this condition are
a consistent inability to remain awake in typical everyday situations
such as traveling as a passenger in a car, watching TV, listening to a
lecture, or reading a newspaper. Common causes of hypersomnia that have
received increased attention recently are snoring and sleep apnea which
both have excessive sleepiness as associated symptoms.
Approximately 30 percent of men and 20 percent of women experience
snoring. Recent studies have demonstrated that snoring reduces both the
quality and duration of sleep as a result of short periods of waking and
the condition has also been connected to the occurrence of high blood
pressure. It is hypothesized that sleep apnea is the result of temporary
blockage of the respiratory pathway due to excess fatty tissue in the
throat or a relaxation muscles of the throat. When the person has
difficulty breathing a startle response occurs causing the person to
momentarily wake up to get air. Interestingly, the person is unaware of
the recurrent awakening that occurs throughout the sleep period.
Unfortunately, the repeated awakenings reduce deep sleep and REM sleep.
REM sleep (Rapid Eye Movement) is a recurring portion of a normal sleep
pattern associated with dreaming and believed to restore brain function.
A person suffering from sleep apnea experiences extreme tiredness during
the day. Recent research has begun to look at the relationship between
sleep apnea and involvement in accidents.
There are several treatments for sleep apnea and excessive snoring.
Sleeping on ones side can reduce snoring and sleep apnea. Surgery can be
used to remove obstructions. Weight loss may aid in decreasing the
amount of fatty tissue in the throat. Another treatment is the wearing
of an appliance in the mouth to keep the airway open. Known as CPAP,
continuous airway pressure, the procedure has been shown to be
successful.
Parasominas are disturbances during sleep, which disrupt but do not
prevent sleep. The most common are nightmares, sleep walking, and
bruxism or gnashing of teeth.
While these disorders are not the result of working in a railroad
environment the co-occurrence of these disorders in conjunction with an
irregular working schedule found in railroad settings may perhaps lead
to increased risk for performance decrements. Consequently, railroad
companies have sought to engage in identification of persons with sleep
disorders to minimize the likelihood of problems arising.
Circadian Rhythms
There have been many studies that have demonstrated that there is a
natural pattern of sleep and wakefulness in many organisms. In 1991 the
Office of Technology Assessment released a report (U.S. Congress, 1991)
in which the implications of circadian rhythms for shift workers were
examined. Circadian rhythms are thought to be generated by an internal
biological mechanism located in the region of the brain known as the
suprachiasmatic nucleus. Circadian rhythms persist even in the absence
of information about time of day or night. When circadian rhythms are
disrupted human function can be affected, performance may be impaired,
and a general feeling of debility may occur until realignment is
achieved. Shift work may affect circadian rhythm and its effect on
performance and sleep-wake cycles are major concerns. The peaks of
performance have been found to vary according to the peak in the
circadian rhythm of body temperature. Thus, sleep deprivation and
variation in the circadian rhythm can affect performance. (U.S.
Congress, 1991)
Other research has shown that people vary in their ability to adjust to
shift work, with some individuals suffering few if any problems and
others finding such conditions intolerable. The OTA report concluded
that "An inappropriately phased circadian system ... can result in
feelings of malaise and fatigue, disrupted sleep, and attempts to
perform certain tasks at a less than optimal time in the circadian
cycle. The degree to which individuals are affected by circadian
disruption varies, with some people being better able to tolerate
circadian desynchronization than others". (p. 15) Tasks involving signal
detection, reaction time, and handling of simple arithmetic correlate
with circadian changes in body temperature, peaking during the
afternoon, while performance of cognitive tasks involving memory may
peak in the morning (Colligan, 1983; Colligan & Tepas, 1986)
While relatively few studies have recorded 24-hour real task data in the
field the data that do exist document decreased performance at night.
Studies have shown that speed at which a task is performed decreases at
night (Browne, 1949; Wojtczak-Jaroszowa, et. al. 1967), the probability
of an error, missing a warning signal or nodding off while driving is
highest at night (Folkard, Monk, and Lobban, 1978; Hildebrandt, Rohmert,
& Rutenfranz, 1974). Several studies have found that the risk of
accidents involving truck drivers between midnight and 4 am to be more
than double the average during the day (Jones & Stein, 1987; Hamelin,
1987). The GAO (GAO, 1992) study cited above found that more human
factor caused rail accidents occurred from 2 a.m. to 6 a.m. than in any
other 4-hour segment and that the accident rate between 2 a.m. and 6
a.m. was higher than at other times.
A recent study of 80 locomotive engineers examined the amount of sleep
and time of sleep onset (Reid, Roach, & Dawson, 1997). The results show
that the timing of sleep and sleep onset follows a "distinct circadian
rhythm, with proportionally more (engineers) sleeping at night." In
addition, Baker, Reid, Roach, and Dawson (1997) found that engineers
going off duty between 11 PM and 3 AM with 12 hours off got about 6
hours of sleep. Much longer time off periods were required to produce
sleep that lasted 8 hours. Thus, despite their irregular work schedules,
locomotive engineers sleep patterns follow a circadian rhythm.
Napping
Rest breaks and napping are fatigue countermeasures that have received
some study. The evidence that naps improve performance appears to be
more consistent than the evidence that rest breaks improve performance.
According to Luna (1997), "there is a relatively large body of
literature documenting the beneficial effects of naps taken during and
prophylactically before, continuous operations." For example, Harma
(1989) showed that persons taking prophylactic naps were more alert on
the night-shift than those that did not. Worksite napping strategies are
used in some international air traffic control operations (Costa, 1993).
Naps have been shown to be effective in improving performance and
reducing subjective sleepiness, especially if they are taken before a
prolonged work period. Dinges (1994) noted the effects of "prophylactic"
napping and also found that naps of only "25 minutes" could improve
performance for hours afterwards.
Prophylactic naps should be distinguished from replacement or
maintenance naps. Prophylactic naps are taken prior to a period of sleep
loss (e.g. prior to an initial night shift). Replacement naps are taken
after a period of sleep loss. Maintenance naps are a form of replacement
naps that occur on duty. Rosekind, Graeber, Dinges et al (1994)
demonstrated the beneficial effects of strategic on-duty napping with
airline flight crews in maintaining alertness and performance.
Dr. Moore-Ede in The 24 Hour Society suggests that a 10-15 minute nap is
"ideal" for sleepy drivers. He recommends avoidance of longer naps which
"can leave you worse off than before." Ferrer et al (1995), on the other
hand, recommends either a 30-minute or 3-hour nap as the "best times for
short naps."
Sleep Inertia
Sleep inertia or grogginess after awakening is "ubiquitous" and occurs
after awakening from sleep at anytime of the 24-hour day or after a nap.
(Dinges, 1989). In some studies naps have been followed by a period of
"sleep inertia" immediately after awakening. Sleep inertia can be brief
lasting from 1-5 minutes in non-sleep deprived subjects. However, sleep
inertia can last longer if the nap follows a prolonged period of
wakefulness. The duration of these effects however, is usually "so brief
that they are ignored in many investigations of the effects of naps in
adults." (Dinges, 1989, p. 195) Never the less, "sleep inertia can be
severe if the nap is taken by someone with a severe pre-nap sleep debt."
(p. 50) The degree of sleep inertia reported appears to be correlated
with the time of day that the nap is taken and the length of time since
the last major sleep period. Interestingly, reaction time performance
was directly related to sleep stage at awakening. Persons awakened
during stage 4 sleep (the deepest) yielded maximum reaction times (Akerstadt,
Torsvall, and Gillberg, 1989).
This grogginess can have a negative influence on performance lasting as
long as 20 to 30 minutes (Taub et al, 1977; Taub, 1979). Dinges (1995)
reported that the advantages of napping are not realized until the
negative effects of sleep inertia are overcome. However, sleep inertia
can usually be reversed within 15 minutes by activity and noise. Some
studies suggest that sleep inertia may last anywhere from 5 minutes to
up to one hour after awakening. Other researchers suggest that sleep
inertia typically lasts 15 to 30 minutes after awakening. One researcher
recommended that napping aircrews be monitored for 10 minutes after
awakening until sleep inertia passes (Ferrer et al, 1995). It should be
noted that most reports of the effects of sleep inertia are found in
sleep deprivation studies in which study participants had been awake for
long periods of time. Rosekind, et al (1996) suggests limiting naps that
are immediately prior to work to 45 minutes in order to minimize the
chance of entering deeper sleep.
Deep, slow wave sleep has also been associated with sleep inertia. The
degree of sleep inertia appears to be correlated with the timing of the
nap, the depth of sleep and the length of prior wakefulness. Sleep
inertia has been shown to increase when associated with naps after long
periods of prior wakefulness, naps taken during the first few hours of
nocturnal sleep or during the circadian trough, and with deeper (slow
wave) sleep.
Not withstanding these negative effects, Dinges (1985) indicates that
sleep inertia can be anticipated and planned for if a worker must wake
quickly and respond to immediate performance expectations. More
importantly, Rosekind (1997) noted that in an emergency situation the
effects of adrenaline can quickly overcome the negative effects of sleep
inertia.
Napping has also been associated with other negative effects. The Office
of Technology Assessment’s report on Biological Rhythms and Work
Schedules cautions shift workers to avoid off-duty naps if the next
major sleep period is at night. Off-duty napping may interfere with a
permanent night worker’s ability to sleep normally. Rosa et al (1990)
hypothesized that napping may hinder adaptation to shift work by
"providing an excuse for sacrificing regular sleep, by making a person
too drowsy upon awakening, or by slowing the inversion of the circadian
rhythm." The latter concern may be less important for rotating shift
workers or permanent shift workers who often do not maintain the same
sleep schedule on days off as on workdays. Torii et al. (1982) in a
study of nurses on occasional night shifts found that naps taken before
and after night work reduced the total sleep time during the subsequent
night’s sleep. Long-term effects of naps on performance, alertness and
adaptation to shift work have not been defined. One study (Bonnet and
Arand, 1994) indicated that individuals who had several one-hour naps
during night work experienced larger performance decrements than those
who had a prophylactic four-hour nap and remained awake all night.
Napping and Performance
According to Dinges (1989) there have been more than a dozen studies
investigating the effects of napping on mood, performance and
psychophysiological activity. Mood variables and self-reported alertness
have improved in most studies. One study observed a statistically
significant improvement in performance in the hour after a nap. (Taub,
et. al 1976). Other studies did not find such an effect. However, all of
these studies involved subjects who had taken either a morning or an
afternoon nap following a normal night’s sleep. Several studies reviewed
by Dinges (1989) reported improved performance several hours after the
nap and can have a positive effect as much as 10 hours after a nap.
Helmus, Rosenthal, Bishop, Roehrs, Syron, and Roth (1997) reported that
sleep deprived normal volunteers were more alert after a 120-minute nap
than were narcoleptic patients similarly sleep deprived.
A recently published study by Gillberg, Kecklund, Axelson, and Akerstedt
(1996) investigated the effects of a 30-minute daytime nap on alertness.
After one normal night’s sleep participants received only 4 hours sleep
and were tested every hour thereafter. After 10 hours awake EEG
sleepiness and subjective sleepiness increased while vigilance
performance decreased. A short nap (mean 19.8 minutes, standard error
2.8 minutes) brought performance back to baseline levels.
Another recent study by Reyner & Horne (1997) found that a short nap of
less than 15 minutes (mean =12.4 minutes, standard error =1.2 min)
combined with a cup of coffee containing 200 mg of caffeine reduced the
number of traffic "incidents" in a driving simulator "3-4 fold." There
was no evidence of "sleep inertia" reported. This may have been due to
the lack of an accumulated sleep debt.
Most studies of short on-duty naps may not be directly applicable to
operational environments and to shift work. An exception is the NASA
Ames Research Center study on planned cockpit napping. (Rosekind et, al,
(1994). The study demonstrated that on-duty naps, averaging 25 minutes
in length, improved performance and alertness in aircrews on long-haul
flights. The Ames study appears to be well designed and does support
on-duty napping as a promising intervention in a controlled operational
setting. Dinges (1995) commented however, that the Rosekind (1994)
report demonstrated five "fundamentally important points about using
planned napping as a fatigue countermeasure strategy":
In conclusion, several summary points about napping can be made:
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A "nap" may be defined as any sleep that is less than 50% of an individual’s average nocturnal sleep length (Dinges et al, 1989) |
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Napping can be either voluntary or involuntary |
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Planned napping may be an effective fatigue countermeasure in certain controlled settings (Rosekind et al , 1994) |
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Sleep loss increases the likelihood of napping at any time |
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The napping environment should be conducive to sleep |
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Napping can be followed by sleep inertia depending upon how fatigued/sleepy the person is prior to a nap |
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Many studies show that naps can improve alertness and performance under specific controlled conditions |
In general, the effects of napping, following the elimination of
sleep inertia, have positive effects on performance that can be seen as
long as 10 hours after a nap has been taken. However, it appears that
napping research that utilizes a methodology readily generalizable to
the on-duty activity of railroad employees is scarce. Thus, definitive
conclusions about the effects of napping on the actual day-to-day
performance for railroad employees are premature. Further study of the
duration and timing of naps in the work/rest cycle, and sleep inertia is
needed to clarify the best utilization of this technique.
Sleep and Performance
The effects of sleepiness, sleep loss, and fatigue have been the focus
of literally hundreds of studies dating back to a study conducted by
Patrick and Gilbert (1896) at the University of Iowa. These scientists
studied the effects of keeping a group of subjects awake for over 90
hours. Using performance tests measuring reaction time, motor speed, and
memory they demonstrated the deleterious effects of sustained
wakefulness.
The "modern" study of sleep and performance began with the work of
Williams (1959) who demonstrated that there was a progressive increase
in reaction time across days of sleep deprivation. These findings wer
evident regardless of the nature of the reaction time task, the duration
of the task, and whether the person received feedback on how they were
doing.
A little over 100 years after Patrick and Gilbert (1896), Heslegrave and
Rhodes (1997) reported that air traffic controllers perceived some
degree of performance impairment the end of an 8-hour day and evening
shift, but significantly greater performance impairment at the end of an
8-hour midnight shift. In fact, the degree of performance impairment at
the end of an 8-hour midnight shift was similar to that of the end of a
12-hour day or evening shift. In terms of sleep, when air traffic
controllers (ATCs) worked the midnight shift, they reported only about 5
hours of sleep on a daily basis and only about 6-6.5 hours on day
shifts. In terms of this aging population, controllers reported more
difficulty with shift-work beginning between 35-39 years of age.
In addition to perceived performance decrements, performance changes
across various shifts were also demonstrated. For example, using timed
reaction time, reasoning, and spatial relations tasks, ATCs performance
began to deteriorate 5-10% on the second midnight shift and by the
fourth midnight shift a reduction in performance of 10-18% from baseline
was observed. For the EDDMM (evening-day-day-midnight-midnight) shift,
significant performance deterioration did not occur until the midnight
shifts with a 6-12% reduction in reasoning,. Spatial orientation, and
pattern recognition. For the EEDDMM shift, performance impairment of
5-15% was evident during the second day shift and during the midnight
shift.
Luna, French, and Mitcha (1997) also reported that ATCs on the
night-shift of a forward rapid rotation shift schedule appeared to be
falling asleep and reported increasing confusion and fatigue.
Many railroad employees do not have a predictable work schedule like the
ones described above. One study by Hildebrandt, Rohmert, and Rutenfranz
(1974) found that locomotive engineers were more likely to have
difficulty using their safety alerters during the night. A laboratory
study by Thomas, Raslear, and Kuehn (1996) also reported some
indications of performance decrements in locomotive engineers. Never the
less, the implication from these studies is that employees with an
erratic work schedule (i.e. one that doesn’t correspond to the so-called
typical 8-hour day) may be more likely to experience performance
deterioration and decrements.
Summary of Effects of Fatigue on Performance
A number of key findings have been summarized by various authors over
the past few years relating to fatigue and rest in the occupational
setting involving continuous operations. The following list was
generated from a review of several articles published by Rosekind (1995,
1996) and Dinges (1991, 1995). They are listed in the form of points to
aid in grasping the significance of the findings. Those interested in a
more detailed review of the findings should consult the original
sources.
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Sleep deprivation results in cognitive performance deficits. |
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Disruption of circadian rhythms leads to a decrease in performance. |
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Human beings are not very good at estimating their current level of alertness. |
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Repeated disruption of sleep schedules can lead to decreased performance. |
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Sleep inertia can lead to performance decrements |
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Inability to get regular sleep may lead to disruption of the circadian rhythm. |
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Short naps have been found to restore an individual’s capacity for performance under certain conditions. |
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Time off alone may not guarantee a rested workforce. Education, planning, and predictability are needed to maximize utilization of work/rest schedules. |
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With repeated loss of sleep a sleep debt builds up over time |
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With increased sleep loss and increased sleepiness a person may become vulnerable to performance problems |
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Quality of sleep is an important factor. Poor quality sleep can leave a person feeling fatigued and non-restored |
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There can be a discrepancy between how people are feeling and how sleepy they are physiologically. |
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Scientific evidence suggests that being on an altered shift schedule, like nights, does not lead to an altered internal circadian pattern. |
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Shift workers that go back and forth between shifts experience more difficulties between the circadian rhythms and sleep times. |
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Moving a shift schedule forward involves easier physiological adaptations |
The following conclusions regarding the effects of sleep loss and
sleepiness were abstracted from several articles written by David Dinges
of the University of Pennsylvania (Dinges, 1991, 1995). They cover
several aspects of research, which are relevant to transportation
operations.
1. Fatigue affects performance
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Fatigue erodes performance such as vigilance, sustained attention, |
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Four main processes affect performance decrements: circadian phase, acute sleep loss, cumulative sleep loss, and sleep inertia. |
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Fatigue can cause lapses or micro sleeps |
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Night work which interferes with the circadian rhythm can cause lapses to increase 4 to 10 fold |
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The longer one is awake beyond 14-16 hours the greater the occurrence of lapses. |
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Chronic under-sleeping creates a cumulative sleep debt, which can produce a cumulative increase in lapses on vigilance tasks. |
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Sleep inertia creates lapses. |
2. Fatigue produces a variety of performance decrements:
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Performance variability |
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Slowed physical and mental reaction time |
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Increase in number of work related errors |
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Increased tendency to persistently repeat behaviors |
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Increase in false responding |
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Increases memory errors |
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Decreased vigilance |
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Reduced motivation and laxity |
3. Magnitude of fatigue effects vary by individual
This limited review should serve to alert readers that the "science of
fatigue and alertness" is still in its infancy. Those looking for
definitive "proof" of a particular point of view are likely to be
disappointed. The results of investigations to this point can only be
used to generate basic guidelines to follow in developing fatigue
countermeasures.
Summary of
Effects of Fatigue on Performance
Source: School of Education - University of Denver
A number of key findings have been summarized by various authors over the past few years relating to fatigue and rest in the occupational setting involving continuous operations. The following list was generated from a review of several articles published by Rosekind (1995, 1996) and Dinges (1991, 1995). They are listed in the form of points to aid in grasping the significance of the findings. Those interested in a more detailed review of the findings should consult the original sources.
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Sleep deprivation results in cognitive performance deficits. |
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Disruption of circadian rhythms leads to a decrease in performance. |
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Human beings are not very good at estimating their current level of alertness. |
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Repeated disruption of sleep schedules can lead to decreased performance. |
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Sleep inertia can lead to performance decrements. |
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Inability to get regular sleep may lead to disruption of the circadian rhythm. |
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Short naps have been found to restore an individual’s capacity for performance under certain conditions. |
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Time off alone may not guarantee a rested workforce. Education, planning, and predictability are needed to maximize utilization of work/rest schedules. |
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With repeated loss of sleep a sleep debt builds up over time. |
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With increased sleep loss and increased sleepiness a person may become vulnerable to performance problems. |
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Quality of sleep is an important factor. Poor quality sleep can leave a person feeling fatigued and non-restored. |
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There can be a discrepancy between how people are feeling and how sleepy they are physiologically. |
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Scientific evidence suggests that being on an altered shift schedule, like nights, does not lead to an altered internal circadian pattern. |
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Shift workers that go back and forth between shifts experience more difficulties between the circadian rhythms and sleep times. |
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Moving a shift schedule forward involves easier physiological adaptations |
The following conclusions regarding the effects of sleep loss and
sleepiness were abstracted from several articles written by David Dinges
of the University of Pennsylvania (Dinges, 1991, 1995). They cover
several aspects of research, which are relevant to transportation
operations.
1. Fatigue affects performance
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Fatigue erodes performance such as vigilance, sustained attention, |
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Four main processes affect performance decrements: circadian phase, acute sleep loss, cumulative sleep loss, and sleep inertia. |
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Fatigue can cause lapses or micro sleeps. |
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Night work which interferes with the circadian rhythm can cause lapses to increase 4 to 10 fold. |
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The longer one is awake beyond 14-16 hours the greater the occurrence of lapses. |
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Chronic under-sleeping creates a cumulative sleep debt, which can produce a cumulative increase in lapses on vigilance tasks. |
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Sleep inertia creates lapses. |
2. Fatigue produces a variety of performance decrements:
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Performance variability |
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Slowed physical and mental reaction time |
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Increase in number of work related errors |
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Increased tendency to persistently repeat behaviors |
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Increase in false responding |
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Increases memory errors |
|
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Decreased vigilance |
|
|
Reduced motivation and laxity |
3. Magnitude of fatigue effects vary by individual
This limited review should serve to alert readers that the "science of
fatigue and alertness" is still in its infancy. Those looking for
definitive "proof" of a particular point of view are likely to be
disappointed. The results of investigations to this point can only be
used to generate basic guidelines to follow in developing fatigue
countermeasures.
Technological
Countermeasures
Source: School of Education - University of Denver
The NHTSA Office of Crash Avoidance Research has funded the
University of Pennsylvania to conduct laboratory experiments to evaluate
the validity, sensitivity, and reliability of selected personal fatigue
detection devices and measures, including eye closure measures such as
PERCLOS, a measure of eyelid droop. Other psychophysiological measures
assessed included two eye blink measures (e.g. MOMs), two
electroencephalograph (EEG) measures, and a head movement detector. All
measures had some validity, but the results most strongly supported the
validity of PERCLOS. FHWA and NHTSA believe that PERCOS is the "most
promising real-time" measure of driver alertness for in-vehicle systems.
Publication of these findings is in process.
Countermeasures Strategies
There are many factors likely to affect the level of fatigue and
alertness that an employee will experience. An employer cannot control
all of these factors. An individual cannot control all of these factors.
However, given the current state of research and knowledge, the
following points have been summarized from the proceedings of the
Fatigue Symposium sponsored by the National Transportation Board and
NASA Ames Research Center (1995), several articles by Rosekind (1994)
and Dinges (1995). They may be helpful in identifying components of
industry pilot projects that are useful in alleviating the performance
effects of fatigue in the railroad industry.
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Educating employees and their families on the effects of fatigue and ways to increase rest may decrease the likelihood of fatigue |
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Education related to enhancing the factors affecting the quality of sleep can affect fatigue |
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Maximizing the likelihood of a person getting 8 hours of uninterrupted sleep may contribute to a decreased likelihood of fatigue |
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Decreasing the likelihood that a person’s circadian rhythms are disrupted may decrease fatigue |
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Under certain controlled conditions short, planned naps may restore a fatigued individual’s capacity for performance |
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Minimizing repeated sleep loss may
decrease the likelihood of the development of a sleep debt which
can negatively affect performance |
Past and Current
Developments
Source: School of Education - University of Denver
Recent Developments in 1999
As the railroad industry's efforts to address employee fatigue have
progressed, various companies have begun to develop formalized fatigue
mitigation programs. Each of the major railroads has continued its
efforts in this regard through their participation in NARAP, the AAR
Work Rest Task Force, the National Carriers Council, and by sponsoring
various pilot projects and programs.
On a national level railroads and labour signed a national agreement in
principle that addressed several fatigue issues. One of the most
important aspects of this agreement was the understanding that future
fatigue programs would essentially be "cost neutral" in overall impact.
This agreement enables both management and labour to avoid many
difficult and contentious contract issues.
Several projects have been undertaken by various railroads that have
continued to explore ways to successfully implement fatigue management
in the industry.
Amtrak Current Developments
In 1999, Amtrak joined the other major railroads in beginning a fatigue
management program. Utilizing the services of an outside consultant the
railroad began a multiphase project designed to address the fatigue
issues faced by its employees. In Phase I a series of educational
seminars was held to begin improving awareness of fatigue issues. Six
such seminars were held in locations across the United States
including:including Denver, San Antonio, Chicago, Jacksonville, and
Richmond. Participants included conductors, engineers, management, union
leaders, and FRA staff. In addition, a survey and interview of 142
employees were also conducted.
In phase II of the project a Fatigue Risk Assessment was conducted on
all crews in the Jacksonville to Lakeland (Florida) area. This included
interviews and assessments designed to determine the extent to which
employees were at risk to be in the Circadian Alertness Scale that would
be considered fatigued. These results were discussed with Amtrak
officials in July of 1999. Based on these discussions a pilot region was
identified that would be used to determine the overall level of fatigue
that the individual might experience.
In phase III a steering committee was formed to oversee the pilot
projects. Next, a series of local task teams were formed to implement
the program. The task teams then met with individual crews that worked
the Jacksonville to Lakeland run. This segment of the phase was useful
in determining employees needs and perceptions. This information would
then be used in determining possible interventions. Finally, in phase
III measurement tools to determine the effectiveness of the program were
identified.
The measurement tools used in this project will be very similar to those
used in the Conrail IMPAC and Canadian Pacific CANALERT projects. A
multi-method approach to measuring fatigue will be implemented with
measurements being obtained in the following areas: self-report
measures, scientific questionnaires, sleep/rest/alertness logs, activity
monitors, and Circadian Alertness Scaling (CAS). The CAS is a model used
to approximate laboratory data that indicates sleep and alertness. Prior
to implementing any significant interventions, baseline data has been
gathered that will be used to evaluate the effectiveness of
interventions.
Currently, measures to reduce fatigue that are under consideration
include fatigue management training, napping policies, rest facility
standards, sleep apnea screening, alertness monitoring, crew scheduling,
and the implementation of various policies and procedures designed to
affect operational practices to improve fatigue. Completion of the pilot
project is not expected for at least six to twelve months at which time
additional measurements will be completed to determine the effectiveness
of the program.
BNSF Current Developments
Work/Rest Scheduling Projects
Thayer Project
During June 1998 BNSF undertook a major project to upgrade and maintain
the track, bridges, and other elements of the Thayer, Missouri
Sub-Division. In order to complete the massive project more than 700
BNSF employees plus additional contractors were employed. This project
was designed to employ as many as 900 railroad employees in a 12-day
blitz. During this period the crews resurfaced about 115 miles of track,
rebuilt 177 grade crossings, installed 46,000 wood and 41,000 concrete
ties, resurfaced 115 miles of track and rebuilt 8 bridges. In order to
accomplish the production goals for this particular sub-division it was
planned that crews would work around the clock. During this time all
regular traffic was re-routed to alter native routes.
Prior to beginning the project, a, a plan was developed to ensure that
fatigue issues and concerns were considered were considered when
developing start-times and shift cycles. A detailed briefing was
prepared for each work group addressing issues related to start time,
amount of rest needed, and additional information on obtaining rest.
These briefings were prepared and distributed to various workgroups and
local safety personnel.
As planning for the project progressed it became apparent that there
would be an opportunity to investigate some assumptions about the
effects of various start times on fatigue. Accordingly it was decided to
prepare questionnaires and utilize actigraphs on several key work groups
thought to be representative of other employee groups throughout the
project.
The two groups that were extensively studied were the crew of the P8-11,
consisting of about 100 employees and a crew rebuilding a bridge at
milepost 442, consisting of about 55 employees. The P8-11 is a specially
constructed set of machines that work in sequence preparing and
replacing roadbed, ballast, ties, and track. Crewmembers must operate
the machines and keep them in proper sequence, at a steady rate, in
cooperation with other equipment.
The P8-11 work group began the project with a 4 :00 A.M. start time.
Questionnaires were administered to the personnel at the end of the
shift.
Figure 10. Thayer Average Start Time by Day of Project.
A need to minimize interference with operations necessitated some
flexibility in questionnaire administration times. Preliminary analyses
indicate that for 48 questionnaire respondents on the P8-11 crew, the
average hours of sleep varied by start time. As can be seen in the above
graph, persons starting work at 7:00 A.M. averaged 6.5 hours of sleep.
It should be noted that 62.5% of the sample reported getting 6 hours of
sleep or less. Put another way, only 37.5% reported getting more than
six hours of sleep per night.
Alertness levels for the P8-11 group, on the 7 point Stanford Sleepiness
Scale (with 1 being very alert and 7 being almost asleep) showed that
the alertness level was an average of 2.94. Self-report stress measured
on a 5-point scale where 1= very little stress and 5 indicates a very
great amount of stress was 3.1.
Analyses of the 67 questionnaires from the Bridge 442 group showed 5
people receiving less than 6 hours of sleep and 28.4% getting more than
6 hours. This indicates that they obtained an average of 5.6 hours of
sleep ranging from 0 to 9 hours of sleep per day. Start times did not
vary for this group.
The average alertness level for the group was 3.4 and the average stress
level was 2.9. This can be compared to air traffic controllers working
the night shift averaging 2.5; BNSF pool crews without assigned days off
averaging 3.4 and BNSF extra board train crews without assigned days off
averaging 3.6.
Figure 11. Thayer Stanford Sleepiness Scale Scores
The accomplishments of this project are more remarkable for the
impact that they had on the various groups than the overall
intervention. Specifically, the effect of studying the fatigue levels of
the employees brought to the fore the issues of managing fatigue. During
the study supervisors kept changing the work schedule as they became
more aware of the fatigue issues
While the information developed during this project lead to some
immediate interventions, more importantly, the effect of studying the
fatigue levels brought to the forefront the issue of managing fatigue.
During the study supervisors kept changing the work schedule as they
became more aware of the fatigue issues. For example, the P8-11 crew
initially had a start time of 4:00 A.M. and it was expected that crews
would be working about 12 hours per day. As the project got underway
data began to show that many people were working 14 hours or more a day
with some working as much as 18, or 20 hours. Immediate action was taken
to divide the work group into 2 overlapping groups to reduce the time at
work and thereby increase the potential for hours of sleep.
According to anecdotal reports provided by persons gathering the data,
BNSF management on-site noticed that the fatigue levels of the employees
seemed to be growing. They subsequently allowed them to "sleep in" one
day to recover some sleep. In addition, near the end of the project the
supervisors in charge determined it would be possible to reduce the
length of the workday while maintaining the required level of
production. They responded by not only reducing the hours worked but
also changing the start times so there was a positive impact on
alertness. Overall, the project signals the start of efforts to address
fatigue issues in the non-operating crafts.
Bakersfield Project
In the Fall of 1998,. the the AAR and the BNSF agreed to investigate the
latest attempt to develop a scheduling agreement for locomotive crews
consisting of 10 days on and 5 days off for locomotive train crews. A
scientific evaluation of this scheduling arrangement would provide an
object measure of its effectiveness. The project was undertaken at
Bakersfield, California due to the interest of local labor leaders and
the willingness of management and labor to work together to develop a
mutually agreeable plan. Several methods were used in the assessment
including self-report, objective, and performance based measures of
fatigue.
Crews in this study operate from Bakersfield to Barstow, CA, a distance
of approximately 140 miles. The mostly single-track territory consists
of 49 miles of mountain operation (owned and dispatched by Union Pacific
Railroad whose own trains also operate on the tracks) with the balance
having an undulating profile across the desert. Traffic is heavy and
consists of a variety of intermodal, unit and manifest freight trains.
For BNSF, traffic is predominately westward in the early part of the
week and eastward later in the week with approximately 8-10 movements
daily. Manned helper locomotives and distributed power are commonly used
in the grade territory. Some helpers turn back to Bakersfield at the
summit, others operate through to Barstow.
The study involved the pre and post assessment of both the engineers who
were involved in a 10 - 5 schedule. A baseline observation period was
conducted during October 1998 and post testing was conducted in December
1999. The results of these assessments are reported below.
Self Report Measures
The measurement of fatigue through the use of self-report measures
involves the detection of the subjective feeling of sleepiness,
alertness, exhaustion, and a number of mood-related psychological
states. The project at Bakersfield employed several different assessment
techniques utilizing self-report measures. As can be seen from the graph
displayed in the chart below there was a significant difference between
the scores at the pre testing phase and the post-testing phase for
participants in the study. The lower the score the greater the
alertness.
Figure 12. Pre-Post Comparison of Alertness Ratings
The next graph indicates that study participants' feelings of exhaustion decreased by the end of the scheduling period in comparisons to ratings taking before the scheduling change took effect. In the chart below lower scores indicate lower frequency of feelings of exhaustion. These ratings also indicated that the engineers were reporting fewer feelings of exhaustion in comparison to the conductors who were not on the 10-5 schedule. Results of the pre post comparison of engineers on the Stanford Sleepiness Scale were non-significant.
Figure 13. Pre-post comparison of Stanford Sleepiness Scores.
Figure 14. Pre-post Comparison of Engineers only on Stanford Sleepiness
Scale.
Several items were included in the survey that addressed quality of
life issues. For example, one of the areas assessed examined the degree
to which respondents reported changes in time for entertainment and
recreational activities. As can be seen from the graph below there was a
significant increase in the reported degree to which engineers, in
comparison to conductors, felt that they had time to spend in
entertainment and recreational activities.
Figure 15. Pre-post Comparison of QOL Entertainment Activity.
Additional analyses are included in the following table and indicate
that several significant differences were found between the engineers'
levels of fatigue when going on duty at pre and post testing.
This measure, along with other similar ones, indicated that this
approach has produced a positive change in the lives of the participants
in the 10/5 scheduling program. For the most part, participantís
comments regarding the effects of the scheduling program were positive.
Comments and opinions obtained from labor representatives indicated that
approximately 65% of the members of the local union organization were in
favor of the program with some modifications. In general, the subjective
impressions of this program indicate that it met with moderate approval
by the participants and improved or reduced fatigue on several
subjective measures.
Other Scheduling Projects
It should be noted that BNSF has several scheduling projects in place at
the present time. Superior Wisconsin is still operating on a 10 and 5
work schedule that appears to be running smoothly. There is also a
project in Ft. Madison, Iowa that has been running for over a year now.
However, BNSF has pulled back from many of its 8 and 3 agreements on
extra boards. At this time it is unclear if there are any 8-3 agreements
in place. So, with the exception of the Bakersfield project, BNSF has
not continued its efforts to implement work/rest scheduling agreements
on its property.
Education and Training
Following its initial effort to educate employees as to the nature of
the fatigue issues mentioned in the previous section, BNSF has continued
to develop additional educational materials on the effects of fatigue
and how to manage its impact in the work place. These brochures are
distributed to employees as part of the ongoing effort to maintain an
awareness of fatigue issues.
In addition, the BNSF has updated the Fatigue Countermeasures Training
program based on new information identified by the scientific community.
This training module will be presented in mandatory rules training
classes for all engineering employees in the second and third quarter of
2000. It will also be presented to all TY&E employees as a module in the
Crew Resource Management program that will be introduced in late 2000.
Comments
After their initial successes, BNSF decided to step back and evaluate
where they have been and where they wanted to go. The implementation of
scheduling projects requires a high degree of cooperation and
coordination between labor and management. To assist in this process
management and labor approached the National Mediation Board (NMB) for
assistance. In late 1999 the NMB held training classes for the BLE/BNSF/UTU
Work Rest Committee on Interest Based Bargaining. In subsequent meetings
the NMB helped that committee establish their future direction. Some of
the key initiatives under consideration are 8 hours undisturbed rest,
7:00 A.M. mark-ups, and the expansion of assigned days off program. In
addition, BNSF is in the process of expanding their napping policy to
include all Engineering employees.
BNSF currently has several initiatives underway to develop assigned days
off programs for pool service employees. Many complex operational and
work agreement issues need to be addressed. Following the completion of
the initial Bakersfield pilot labor and management agreed to hold
further discussions on ways to improve the project. Implementation of
the second pilot is imminent. It seems that after an initial series of
successes, followed by a period of consolidation and evaluation, BNSF
stands poised to make further progress.
It appears as if BNSF has decided to regroup from some of its previous
efforts in addressing employee fatigue through scheduling initiatives.
The Bakersfield project is the only one that appears to be moving
forward. Apparently content with its previous education and training
efforts BNSF has done little over the past 18 months to address fatigue
issues and has apparently taken steps to remove its scheduling
initiatives, with the exception of Superior and Ft. Madison. Hopefully,
the successes in the Bakersfield area will build momentum for further
effort.
Canadian National - Current Status - Canadian National - Current
Developments
The Canadian National Railroad has developed an Alertness Assurance
Implementation Committee that is comprised of representatives from the
BLE, the UTU, Crew Management Strategies, and a Project Officer. In
addition, outside consultants from Circadian Technologies, Inc. provide
specialized expertise in the design of the scheduled crew work windows.
Recently, top management of the CN has reaffirmed its commitment to
continue with the Alertness Assurance initiative in the several key
areas.
Napping Policy
The CN napping policy was designed to provide quiets area with reclining
chairs or couches that could be used by operating crews when delayed
prior to boarding their locomotives. As in other companies, crews could
use these facilities for short naps to retain or enhance their alertness
level during this delay period. In addition, crews arriving at their
home terminal could use the nap facility to recover their alertness
before driving home.
According to documents provided by management, twenty-nine locations
have been targeted for facility upgrade in 2000. Extended run terminal
locations were the first priority with secondary main line, single
subdivision and operations to follow. A total of 106 chairs have been
purchased and distributed to the District for implementation. The
complete installation for Western Canada has been targeted for 4th
Quarter of 2000.
Rest Facility Improvements
Disturbed sleep is considered a major problem for railway shift workers
due to the irregular and unscheduled hours of service. This condition is
aggravated when employees are required to use facilities that have poor
environmental conditions, peculiar noise levels and light and
temperature variance.
CN provides rest facilities for Away from Home operating crews through
the use of CN bunkhouses or non-CN commercial hotel/motel
establishments. CN reviewed 27 facilities in 1997 for compliance and
effected improvements in 17 of them. Improvements required were
associated to renovations, blackout curtains, insulation (sound),
bunkhouse / motel staff training, and availability of personal noise
suppression devices. New facilities at Biggar, Jasper and Boston Bar
incorporated design features recommended by CTI.
Educational Activities
In order to provide basic education on fatigue countermeasures CN
provided an opportunity for employees to attend a 4-hour workshop while
on duty. The training incorporates instruction on the
physiological/psychological mechanisms of fatigue, and fatigue
countermeasures as well as specific lifestyle training for employees
working in a 24-hour environment. Lifestyle training was provided to the
Rail Traffic Controllers as well as the Crew Management Center Crew
Dispatchers in order to ensure that those involved in the implementation
have an understanding of the strategies introduced.
Work Scheduling
Time pools were developed as a means of ensuring predictability and
regularity in the lives of employees through the use of calling windows
and scheduled days off, using circadian sleep wake principles. Time
Pools (schedules) offer significant benefits in reduced absenteeism,
improved subjective alertness, improved sleep quality, greater job
satisfaction, and increased predictability in railway planning.
Current Schedule Implementation Status
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Rivers Sub (Winnipeg to Melville) - implemented June 1999 |
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Edson Sub (Edmonton to Jasper) - implemented July 1999 |
Schedules have been designed for the Vancouver - Kamloops segment,
however, a number of operational changes have delayed initial
implementation. It is anticipated that the schedules on this segment
will be in place before the end of the first quarter 2000.
In addition to the mainline operations CN is attempting to introduce an
enhanced Lifestyle Schedule operation on the Prince George - Smithers
segment. Currently under review is the feasibility of scheduling an area
with limited traffic. Mainline traffic has a high degree of
predictability while the scheduling on the BC North territory presents
unique challenges and adjustments. Although all the operational
conditions have not been reviewed to date CN is expecting to implement a
form of scheduling before the end of the first quarter 2000.
CSX Current Developments in 1999
CSX has continued its program to address employee fatigue including a
continuation and expansion of the sleep apnea survey, additional
educational efforts, and progress towards the implementation of a
scheduling agreement in the Florence service lane.
Sleep Apnea Survey
As discussed in Chapter Two, Obstructive Sleep Apnea (OSAS) is a sleep
disorder that consists of episodes of interrupted breathing, resulting
in sleep fragmentation and daytime sleepiness. Studies show that OSAS
affects 2% of women and 4% of men of middle age (Young, 1993).
Researchers believe that occupational factors may play a role in the
development of sleep apnea. For example, the variable sleep schedule
found among some railroad workers may worsen sleep apnea. Moreover, an
elevated presence of OSAS has been document in the trucking industry (Stoohs
et al., 1995). Of most concern to the public is the fact that OSAS has
been associated with an increased risk of driving accidents (Maycock,
1996) and performance problems at work (Aguirre et al., 1996; Ulfberg et
al., 1996). Fortunately, OSAS can usually be treated effectively.
In order to understand the prevalence of OSAS in the railroad
industry, CSX undertook a survey of 2386 employees in the Florence
Service Lane between August 1998 and September 1999. The project began
with an extensive educational campaign addressed to all of the
management and union representatives to acquaint them with this sleep
disorder. Next, a pre-screening questionnaire was mailed to employeesí
homes. Consisting of 37 items, it was designed to determine the presence
of sleep apnea. Incidentally, the questionnaire included the Eppworth
Sleepiness Scale that has been used extensively in railroad studies of
fatigue.
A total of 248 employees, consisting of 240 males and 8 females returned
the completed questionnaires, for a response rate of 10.4%. The average
age of respondents was 47.3. A significant number of respondents
reported lifestyle factors related to sleep apnea including being
overweight and smoking. Reported alcohol use was very low. The average
score on the Eppworth scale was indicative of moderate sleepiness (Mean
= 10.5, sd =5.0). Twenty percent of employees reported hypertension and
61% reported habitual snoring.
Based on a review of the surveys, 136 of the 248 respondents indicated
higher risk factors for sleep apnea; 31% indicated hypertension, 41%
were overweight and 85% experienced habitual snoring.
All respondents were informed of their results on the screening
questionnaire within two weeks. Persons not at risk received a letter
stating so along with an explanation of the results. Those employees
whose results indicated a high risk for sleep apnea were contacted both
by mail and telephone to discuss their results and encouraged to
participate in further assessment through their primary care physician
and a sleep lab.
The results of the sleep studies are reported in the following table.
|
Program Step |
Number of Employees |
Percent of Total Population |
Percent of At Risk Population |
| Total Number of Employees | 2386 | ||
| Questionnaires Returned | 248 | 10.4% | |
| Identified At Risk | 136 | 5.7% | |
| Sleep studies performed | 56 | 2.3% | 41.2% |
| Confirmed OSAS | 43 | 1.8% | 31.6% |
Figure 16. CSX 1999 Sleep Apnea Survey Results
This study suggests that about 2% of railroad employees are suffering
from OSAS. This is an extremely conservative estimate since only 10.4%
of the population turned in the survey. Many individuals who did not
return the survey were probably either not interested or may have
already been diagnosed and therefore not needing to complete the survey.
It is also possible that employees did not either complete or return the
survey out of fear of the potential harm that might arise if their
results were not kept confidential. Further studies would have to be
done to accurately estimate the incidence of sleep apnea in railroad
employees.
The diagnoses of the 56 people who had a sleep study were as follows: 43
had mild/moderate sleep apnea requiring CPAP treatment or surgery; 11
(20%) had mild apnea or primary snoring; one case of narcolepsy; one
case of circadian rhythms disorder; several cases of periodic leg
movement disorder as a secondary diagnosis.
Many different stakeholders perceived the program as a success. In the
final report submitted to CSX management the consultants stated "CSXT
employees in other areas, having heard about it (the screening program)
through their peers, have called with requests for the Program in their
area." (Circadian Technologies Inc., 1999) In all, this program provided
a much-needed service to railroad employees.
Napping Policy
As of March 1, 2000 CSX implemented a napping policy that permits road
train crews to take naps, under certain controlled conditions. Naps are
permitted, when appropriate safeguards have been implemented, for one
member of the crew at a time. There must be an alert crewmember
observing the equipment and the condition of other equipment or trains
as they roll by. At the time of this writing there have not been any
problems reported with this policy by operations managers.
Education and Training
A new set of videos has been planned for distribution beginning in May
2000. This set of videos will target the physiological issues and
alertness. A special emphasis will be placed on the types of
countermeasures that have been found to be effective in the railroad
industry. It will include reports of successes at various locations
around the CSX system including Russell, Kentucky and the Florence
Division Pilot.
Work/Rest Scheduling Project
Florence Service Lane
The FSL project is designed to improve the quality of life and
predictability of rest for a 129 mile run between Richmond, Virginia and
Rocky Mount, North Carolina. This is primarily a freight pool with runs
lasting between 8 and 12 hours.
Working with representatives from the BLE and UTU, a scheduling
arrangement of 10 days on, 3 days off was developed. In order to
determine whether this approach was effective, an outside consultant was
hired to conduct an evaluation of the program. With the participation of
Union and Management officials, a study was designed which included
several baseline measurements and follow-ups. This design would permit a
pre-post within group comparison of the persons in the program. In
effect participants are able to serve as their own control group.
Beginning in December 1998, preliminary measurements were obtained on
the persons operating in the Florence freight pool. Research assistants
greeted employees as they began or ended their assignments and invited
them to participate in the study. Those who were interested received a
questionnaire and a consent form. Participants wore an Actigraph - Sleep
Watch for 14 days, completed a computerized assessment battery for 20
days and provided records of hours worked and hours spent between
assignments at home or away-from-home.
Measures used for this investigation are similar to those used in
previous investigations. The questionnaire consisted of several
different instruments including: the Stanford Sleepiness Scale, Eppworth
Sleepiness Scale, Visual Analog Test, Denver Adjective Checklist, and
various demographic measures. The computerized assessment battery, the
Denver Fatigue Inventory included several measures adapted from the
Performance Assessment Battery (Thorn, Genser, Sing, and Hegge, 1985).
These included a simple choice reaction time test, the Stanford
Sleepiness Scale, the Manikin Test, the Wilkinson Serial Addition and
Subtraction Test, and a randomized visual tracking measure. Reliability
and validity information on these measures has not been established for
the present form of the test. However, previous administrations of the
measures have been reported in (Thorn, Genser, Sing, and Hegge, 1985).
Pre-test data on the study participants were gathered at two points
prior to the implementation of the intervention of the 10-3 scheduling
arrangement. As can be seen in Table 11 the engineers and conductors
indicated that they were receiving at least 8.5 and 7.0 hours of sleep
on the night before the study was initiated. At the second pre-test
period participants indicated that engineers and conductors were
receiving 7.5 and 7.15 hours of sleep on the night that the
questionnaires were administered. No significant differences were
detected between groups.
Similar findings were obtained on most of the other measures. No
differences were found between groups on the Stanford Sleepiness Scale,
the Visual Analog Scale, the Denver Adjective Checklists, or the
Eppworth sleepiness scales.
Table 11. Pre-test data for CSX Florence Service Lane 10-3 project
| Pre Test 1
January |
Pre Test 2
October |
|||||||
| N | Mean | SD | N | Mean | SD | sig | ||
| Hours of sleep in last 24 hours? | ||||||||
| Engineers | 11 | 8.55 | 3.56 | 25 | 7.5 | 2.39 | ns | |
| Conductors | 4 | 7.00 | 3.83 | 12 | 7.15 | 2.23 | ns | |
| Hours of sleep in last 72 hours? | ||||||||
| Engineers | 11 | 21.9 | 6.90 | 25 | 18.63 | 6.30 | ns | |
| Conductors | 4 | 15.67 | 4.04 | 13 | 16.69 | 5.45 | ns | |
| Stanford Sleepiness Scale | ||||||||
| Engineers | 11 | 2.73 | 1.27 | 25 | 2.76 | 1.56 | ns | |
| Conductors | 4 | 2.25 | 1.5 | 12 | 2.58 | 1.83 | ns | |
| Denver Adjective Check List | ||||||||
| Engineers | 11 | 2.35 | 0.75 | 25 | 2.50 | 0.99 | ns | |
| Conductors | 4 | 2.39 | 1.02 | 12 | 2.23 | 0.05 | Ns | |
| Eppworth Sleepiness Scale | ||||||||
| Engineers | 11 | 11.00 | 4.62 | 25 | 9.2 | 4.19 | ns | |
| Conductors | 4 | 11.5 | 3.87 | 12 | 7.67 | 4.56 | ns | |
| Visual Analog Test | ||||||||
| Engineers | 11 | 3.70 | 2.71 | 25 | 4.44 | 3.32 | ns | |
| Conductors | 4 | 2.90 | 1.85 | 7 | 4.31 | 3.67 | ||
The schedule changes were agreed upon by the UTU and put into effect
near the end of March 2000. Follow-up data will be collected in June.
This project is noteworthy due to the many difficulties that were
overcome prior to initiating the agreement. In addition to the challenge
presented by traffic increases due to the Contrail turnover, the
flooding in North Carolina provided additional tests of CSX commitment
to the 10-3 program.
Comments
One final observation seems to be in order. Looking at the CSX data for
fatigue, one is immediately struck by the fact that both locations were
reporting less fatigue than other railroad locations prior to the
adoption of a scheduling change. While it is impossible to determine
from these data alone what is contributing to these numbers, especially
given the absence of a suitable control group, it may be that CSX
railroad employees are experiencing slightly less fatigue than their
colleagues in other locations. Further study is needed to determine the
extent of the fatigue problem to identify any serious lack of sleep on a
weekly basis, and to measure any performance decrements as a result of
inadequate rest in the railroad industry.
Shelby Mine Run "Shifters"
It is important to note that CSX has also widely established a very
popular program for mine operations. In various locations in the coal
fields of Kentucky and West Virginia, CSX has developed a program of
assigning crews to trains. The approach works very well because crews
know when they will be going to work and, for practical purposes, when
they will be getting off, as the runs to and from the mines are very
predictable. Survey data obtained from persons working on the mine run
operations indicate that persons are fairly satisfied with the program.
In addition, data suggest that the employees in that region are not
experiencing very high levels of fatigue in comparison to other
locations. As can be seen from Figure 179 the data suggest that
employees in Shelby, a mountainous region in Eastern Kentucky, are lower
than the national average on subjective measures of fatigue.
Figure 17. Stanford sleepiness Scores at three CSX locations.
These results are noteworthy for the simple fact that employees
coming on duty, in comparison to other locations on CSX and in
comparison to a national sample, show lower scores on the Stanford
Sleepiness Scale than a national sample of railroad employees. There is
not much difference however between Shelby "Mine Run" Shifters and
Florence service Lane Pretest study participants coming on duty.
Russell, Kentucky to Columbus, Ohio
Labor and management at Russell, Kentucky have met and implemented an
8-3 work schedule agreement. This program was adopted on January 10,
2000 and has met with widespread acceptance and utilization. Russell to
Columbus is on the route that transports coal from Eastern Kentucky to
Toledo, Ohio. There are approximately 20 pool turns in this service from
April though mid-December when coal is being unloaded in Toledo. The
program is successful and is in operation without a guarantee.
UPRR Current Developments in 1999
UP has continued to work towards an effective Fatigue management program
for its entire system. The UP has for the most part followed the plan
that it developed last year. The company has made efforts to implement
almost all of the components of its plan. As mentioned above, AAR Work
Rest Task Force agreed on the components of an effective Fatigue
Counter-measures Program that was endorsed by the senior railroad
executives in February 1998. (Page 32) We will use these eight areas as
the basis for commenting on progress in developing fatigue
counter-measures. The following lists the most recent developments and
accomplishments to date.
Education and Training
In the area of Education, Training, and Communication, UP has
developed a number of brochures for employees in the area of fatigue
management. This is an improvement over 1998 when only two brochures
were available. These brochures address many important issues: 1)
Alertness Management Program, 2) Good Sleep Habits, 3) Strategies for
Living, 4) Lodging Facilities, 5) Crew Management Systems Wake-íem Up,
6) Planned Nap Program, 7) Crew Scheduling Activities, 8) A Management
Perspective, 9) Drugs Alcohol and Fatigue, 10) Fatigue and Family
Support. 11) Managers Alertness Travel Guide. 12) Employee Alertness
Guide. 13) Brochure and Video Listing Card, 14). Fatigue Myths and
Concerns, and 15) Drowsy Driving. In addition, additional information
about Non-ops Manager Concerns is reportedly also being developed.
Videos discussing important issues related to fatigue have also been
developed. The current list includes such topics such as:
These efforts are an attempt to educate all employees regarding the
effects of fatigue and effective countermeasures available to manage it.
The UP is making a concerted effort to educate its management and
scheduled work force as to the extent of the problem, the need to
address the problem. A special edition of The Sleep Solution (Ball and
Hough, 1998), a workbook designed to help people get better sleep was
distributed to more than 23,000 T&E employees in July 1998 and mailed to
all remaining employees (almost 38,000) in November 1998. According to
materials supplied by UP management, an additional 325 Sleep Solution
books were mailed to new non-operating employees hired in the fourth
quarter of 1998 in January of 1999. At the time of this writing
approximately 1,044 new Non-Operating and an additional 495 Operating
employees had been hired in 1999, all of which received a copy of the
book. Newly hired operating employees also get a fatigue component in
their new hire training and orientation seminars. In addition, the
bi-monthly newsletter On Alert is distributed to all employees (over
60,000) in the UPRR INFO magazine.
Additional alertness management training programs have been developed
for new and existing employees in the Harriman Dispatching center, the
Employee Assistance Program, UP Police Department, as well as new
operating employees, and others. It should be noted that all new
employees receive fatigue education as part of their new hire
orientation-training program. This includes operations and non-operating
employees at all levels of the organization.
Educational seminars continue to be delivered to management and
agreement employees as part of the Rules Class Session B Training. All
operating employees are required to attend bi-annual rules training. In
conjunction with the bi-annual rules training, the employees are also
given training in the Alertness Management Program. This program
consists of approximately 4 hours of lecture and discussion and video
presented by a trained facilitator. A standardized video, Trainers
Guide, and Participant Guide were developed specifically for this
training program. According to information submitted by the Health
Services Department, a significant number of employees have completed
the Session B training, which included the fatigue component.
According to information provided by the Health Services Department,
more than 70 training programs were given to various groups by their
staff in 1999 including shop maintenance employees, contract crew van
drivers, and other non-operating managers.
Given the size of the work force and the complexity of the problem the
UP efforts are commendable. Considering the complexity of the problem
and the nature of relationships between management and labor, the
face-to-face training approach is more likely to be an effective method
of achieving the educational objectives. UP has made impressive efforts
in this area and hopefully, this training effort will continue until all
employees have received both the printed and video information and the
face-to-face instruction needed.
One development that is particularly noteworthy has been the development
of a questionnaire designed to measure the extent to which participants
in the educational training seminars have been able to retain the
information presented to them. This instrument may be extremely useful
in planning continuing and follow-up educational interventions. This
program could serve as a model to other railroads that attempt similar
training programs. Much time, effort, and resources are expended in the
preparation and delivery of alertness and similar programs. In most
cases little is done to determine whether these programs actually have
the desired effect. If the identified objective is actually worth
achieving efforts to measure that achievement are also needed.
Scheduling Projects
The scheduling efforts have been hampered by the fact that complex labor
agreements must be negotiated between labor and management. The UP has
made considerable progress towards developing an effective collaborative
effort with labor in implementing fatigue management and scheduling
programs throughout the railroad.
In mid-1997 UP top management developed a set of strategic objectives
that would guide the transformation of UPís management culture. One of
the strategic objectives was the recognition that UPís employees are
critical and imperative to the railroadís success. UP identified and
adopted specific strategic initiatives to accomplish those objectives.
One of the strategic initiatives specifically address the fatigue and
quality of life issues of its train and engine service employees - i.e.,
to provide more and scheduled time off for UPís train and engine crews.
As a part of this initiative, UP commenced developing an effective
fatigue management and program. In addition, UPís Health Services
Department also began working closely with labor relations to develop an
effective strategy in approaching labor with the fatigue management
initiatives. As mentioned previously, UP had approached some locations
as early as 1996 with programs to implement scheduling changes. While
some were met with acceptance, the only agreements still in existence
today are the North Little Rock programs. Part of the success of the
North Little Rock program was due to the collaboration between
management and labor. Management was concerned however, that in
attempting to implement new programs around the system that each
location would want to negotiate a new contract. The practical
limitations inherent in this approach would naturally extend the process
over several years. UP approached its labor organizations with proposals
to address the fatigue issues through system wide agreements. High level
representatives of the UTU accepted this invitation and, at a meeting in
Tucson, in February 1999, with management officials from UP, met to
discuss their concerns. The meetings established a framework for
addressing fatigue issues of train service employees and identified key
points and principles that would guide the adoption of crew scheduling
agreements throughout the UP system.
These principles were outlined in a document signed April 13, 1999 and
included the following provisions:
This agreement of understanding developed at the Tucson meeting,
provides a concrete foundation of principles and points to which all
parties have already agreed. The practical implementation can then be
agreed to and put in place, by the UTU local officials, at any location
that decides to utilize these work/rest agreements. A similar agreement
for freight pool employees was drafted and signed by UTU General
Chairmen on July 21, 1999. Also, the first joint UTU/BLE work/rest
meeting was held on July 29, 1999.
The events leading up to this agreement and its subsequent adoption in
various locations around the UP system are no less than outstanding. By
collecting all of the issues related to work rest and fatigue, isolating
them into one set of principles, agreeing in principle to focus only on
those issues, and to forego negotiations on other perhaps more
contentious issues, both the UTU and the UP have laid the foundation for
significant progress in this area. One can only be amazed at the
exponential progress made in implementing these agreements on over 19
locations throughout the UP system. While other railroads have attempted
similar undertakings in the past, hopefully this effort will be
sustained successfully over the next few years.
North Little Rock
The two scheduling projects (eleven days on/four days off and twelve
days on/four days off) in the North Little Rock area, begun in 1996, are
the only scheduling projects that continue from earlier agreements.
On-site discussions with employees involved in this project conducted by
the author indicate that they are "very satisfied" with the project and
do not want to revert to their previous schedule. However, employees
also revealed concerns that while the program is a step in the right
direction it may do more to improve quality of life than reduce fatigue.
This is particularly noticeable when employees are called on-duty just
prior to beginning their rest days. A major feature of the project has
been that employees are able to identify and plan for days off. However,
if scheduling results in working into rest days then both the
predictability and rest is compromised. Discussions also revealed that
management was satisfied with the agreement and felt that it did not
present any obstacles to effectively running the operation. Union
officials expressed an interest in adjusting the agreement to include
time windows. Management officials have expressed an interest in
updating the agreements in that locale to include all of the work/rest
principles included in the Tucson Agreement. Such an effort would
preserve the existing agreement while improving aspects that will
enhance rest.
In early 2000 a questionnaire was mailed to all (N=108) of the UTU
employees in the Little Rock area affected by work/rest cycle
agreements. The survey developed by the Health Services Department,
consisted of 5 questions for employees and 6 questions for families and
significant others. Respondents returned 27 surveys (25%) for analysis.
Results of the survey indicated that there was an overall positive
perception of the scheduling agreements by both employees and families.
Specifically, 67% of employees reported an enhanced quality of life at
work while 85% reported enhanced quality of home life. Seventy percent
of family members reported that the agreements enhanced quality of life
while 45% believed that the agreement had a positive effect.
As previously noted the Little Rock Area agreements have been in place
quite a while. These data provide additional support for the positive
effects of scheduling projects on employee and family perceptions.
Figure 18. Perceptions of Little rock Scheduling Agreements
La Grande Freight Pool
Following the development and adoption of the principles in the Tucson
Understanding, UP began negotiations in earnest with UTU representatives
at La Grande Oregon. Subsequently, on June 22, 1999 an agreement was
signed between Union Pacific and the United Transportation Union
regarding the Work/Rest cycle agreement. This agreement includes the
following provisions:
La Grande Extra Board
The UTU and the Union Pacific also entered into an agreement for the La
Grande extra board on June 22, 1999. The agreement is essentially the
same as the agreement for the pool.
Other Locations
Agreements with labor have been obtained at a number of locations on the
UP system. In addition, agreements leading to implementation are at
various stages of development including implementation, agreement,
ratification, or negotiation. According to information provided by UP
management in April 2000, 79 locations are at the implementation stage
and are using either a 12/4, 11/4, 7/3, or 6/2 work schedules. Another
52 agreements have been ratified and 28 were close to ratification.
Comment
While the above information is largely based on management reports that
will be verified by on-site discussions with union members by the
author, these agreements mark the first time that a work/rest cycle
agreement has been put in place on the UPRR since the Alertness
Management Program was initiated. Never the less, several key
accomplishments should be noted that have implications for the rest of
the industry.
First, the fact that it addresses a freight pool is noteworthy. Many of
the previous agreements (e.g. 8 and 3) have been made for extra -boards.
Also, there, there is a minimum 48-hour rest provision following a
consecutive work cycle. This is significant because it adheres to the
scientific knowledge that has been gathered regarding the length of time
that a person needs to recover from sleep deprivation. In addition, the
employee may take the entire amount of time allocated for his/her rest
cycle if he/she works into their rest. This was also a significant
concern of persons in the North Little Rock area. Finally, this
agreement has a work cycle that is only 7 days. Previous agreements were
8-3, 10-5, or 11-4. With regard to the guarantees, the agreements appear
to be cost neutral. This is in keeping with the national agreement
signed by the National Carrierís Conference Committee and the BLE and
UTU. At present, only the UTU has reached agreement on this progressive
scheduling approach. Hopefully, it will soon be available to BLE members
as well.
Undisturbed Rest
According to materials supplied by management, 100% of the engineers
across the system have the option of taking 8, 10 or 12 hours
undisturbed rest under their respective collective bargaining
agreements. Moreover, employees in the southern region are eligible to
voluntarily lay off for two days after working 14 consecutive days. In
addition, nearly all of UPís train service employees are governed by
collective bargaining agreement rules which permit them to take extra
rest ranging in duration from eight hours up to twenty-four hours. The
conditions under which such employees make take this rest vary.
According to UP Labor Relations officials approximately 85% of UPís
employees are covered by such a rule in some form.
Emergency Response Requirements
The Emergency Response Requirements (unplanned work associate with
adverse weather conditions or accidents) are currently under discussion.
A committee was formed in November 1998 to address these issues. At this
point Alertness Solutions Inc., has provided consultation on current
Emergency Response policies. In addition, the Safety Assurance and
Compliance Program (SACP) Non-Ops group has met and developed a list of
issues for both the Engineering and Shop Crafts. However, a final
product has not been prepared at the time of this writing.
Planned Nap Program
The napping program has now been implemented system wide for road train
and engine employees. Materials supplied by management have noted no
safety problems since the program was initiated. This is consistent with
the experiences of the Canadian Pacific, BNSF, and Conrail.
An Opportunity Napping Yard Pilot was begun in Houston in October 1999
and will be measured and evaluated for the feasibility of further
expansion after 90 days.
Another pilot for mechanical shop employees for Opportunity Napping in
Emergency and Unscheduled Work began in October 199 at Hinkle, Houston
and North Platte. This pilot will be for 6 months and will then be
measured and evaluated.
Lodging
Considerable activity has been noted in this area. A survey was mailed
out in September 1998 to 1,755 employees. Results, based on a 21% return
rate, indicated that respondents viewed only 50% of the lodging
facilities favorably. Committees have been formed to look into the
issues raised by the survey. A special brochure designed to address
lodging issues has also been developed for distribution to employees. In
addition, a staff person has been assigned to review the issues raised
on the survey with the individual facilities.
A second evaluation of lodging facilities was conducted in March 1999. A
total of 1,972 surveys were sent out to employees in 3 cities in each of
the 3 Regions; Seattle, Oakland, Yuma, Clinton, Jaynesville, Des Moines,
Ft. Worth, Dalhart and McAlester. A total of 462 responses were received
for a response rate of 23%. Based on the responses to the surveys the
Alertness Management Program (AMP) group developed a list of strategies
to be used in combating the problems encountered at the lodging
facilities. A pilot of this process of responding to the concerns at the
lodging facilities was begun in August of 1999.
Figure 19. Comment Card.
Another method, called the Lodging Comment Card, is being piloted
beginning in August 1999 for 60 days in the Los Angeles service unit.
The lodging comment cards were the result of the 2 separate surveys that
were done on the facilities. The previous comment cards simply asked
employees to write out their comments. The revised comment card requests
specifics on: bedding, room availability, noise, light, etc. and whether
the hotel resolved the problem while the employee was there. The revised
comment card also includes educational material in the form of
strategies and suggestions on the reverse of the comment card itself for
the employees to review on good sleep and how to minimize outside
disturbances. This comment card can be used as a "mini survey" tool.
Technological Counter-Measures
In previous documents it was reported that UPRR had field-tested two
headset communication devices. According to materials supplied by
management results of a survey of employees indicated that employees
generally do not like or plan to use ear "muffs" or "ear buds"
communication devices. At this point the AMP Technology Team has not
identified any technologies that are "feasible" at this time.
Status of Union Pacific
Over the past nine years Union Pacific in many ways has led the US
railroad industry in addressing the fatigue problem. UP began many
studies that documented the importance of fatigue as a health concern
for the operating crafts. Beginning in 1997 the UP made a concerted
effort to incorporate a thoughtful and directed planning process to
systematically address fatigue. UP has provided written materials on the
effects of fatigue to its employees. Face to face educational
interventions have been delivered to a portion of the workforce. A
lodging survey has been administered to about 14% of the workforce, and
improvements are underway due to responses that indicated satresponses
that indicated satisfaction with only 50% of lodging facilities.
Emergency response plans and technological countermeasures have been
examined. These efforts address all of the key components of the AAR
Work/Rest Task Force and NARAP position statements.
In addition to the above, road train and engine napping programs have
been piloted successfully with no reports of operational problems or
difficulties. At this point the napping policy is available system wide
to UPRR road operating employees.
Most importantly, in the second quarter of 1999 significant progress was
made in developing scheduling programs that incorporated scientific
principles into the management of fatigue. Employees in many locations
will have at least 8 hours of undisturbed rest and the opportunity to
request at least 12 hours or more of undisturbed rest. Some areas of the
railroad have the opportunity to take longer periods of rest.
At this point, it is safe to say that UPRR has developed a plan that is
addressing the major points of the NARAP fatigue Countermeasures plan.
While considerable work remains in terms of implementing work/rest
scheduling agreements at various locations, and continuing the
educational efforts begun, the foundation provided by the Tucson
agreement with the UTU will make the eventual adoption of these plans
with other unions and the UPRR system considerably less difficult.
Norfolk Southern Current Developments in 1999
Work Rest Committee
In April 1999, the first meeting of the NS Work/Rest committee was held
in Norfolk, Virginia. The meeting attendees included representatives of
the BLE and UTU along with NS management. The Work/Rest Committee was
established to provide a forum to discuss rest and fatigue issues. The
Committee met approximately bi-monthly for the last year. The Committee
is evaluating work/rest pilot projects as well as identifying other
areas for additional pilot projects. According to minutes of the meeting
provided the committee is currently reviewing several pilot projects
having to do with napping, timely pick-up of road crews, and
technological countermeasures.
The committee has addressed a variety of issues at its bi-monthly
meetings including: education and training materials and videos;
scheduling programs; assigned work/rest days; minimum undisturbed rest;
A.M. markups; transportation for crews from trains not arriving at
terminals; line-ups; and lodging facilities. These topics are discussed
in greater detail below.
Work/Rest Scheduling Projects
Fort Wayne - Chicago
A pilot project began December 7, 1998 and involved 46 pool
conductors in the Ft. Wayne - Chicago corridor. Following a 100-day
pilot period the UTU ratified the agreement to make it permanent. The
notable provisions of this agreement are:
This agreement works with 14 days on followed by two or three days off.
Virginia Division
The Virginia Division project began in July 1999 and involves seven
pools. Each pool is divided into six groups with optional rests days
available. This project involves both the UTU and the BLE. The notable
aspects of the agreement are as follows:
Each group observes a 10-day work cycle and an optional 2-day rest
cycle.
Employees cycle off duty at the home terminal at 6:00 P.M. on the day
preceding rest. If not called out of the away from home terminal by
10:00 P.M. the employees are deadheaded home in taxis or vans.
Employees who mark off for rest days have their pool turns removed from
service. Employees are automatically marked up at 6:00 A.M. on the day
following their last rest day.
Based on data provided by NS, this particular project varied in its
acceptance and popularity. Reasons for this are not given. In some
places rest days were not taken for several months. The project was
permanently ratified in two of the districts Roanoke and Norfolk.
Kansas City - Moberly
The Moberly Kansas City corridor is comprised of approximately 35
pool crews on a 131-mile district. The pilot project established a new
assigned pool with 8 positions while the number of pool positions in the
overflow or unassigned pool become 17 positions. The notable aspects of
the agreement are as follows:
The pilot project began on September 28, 1999 and applies only to the
BLE. The pilot was scheduled to run for ninety days. No data is
available on the current status of the project.
Elkhart - Chicago IMPAC Program
The Elkhart - Chicago was formerly under agreement with Conrail (see
previous chapter). Just prior to the acquisition of Conrail the
agreement was terminated. It was reinstated, as a pilot project on
September 20, 1999. The notable aspects of the agreement are as follows:
In November, due to a shortage of engineers, the BLE agreed to reduce
the number of engineers off on Monday and Tuesday to correspond with
traffic flow. The project is currently still in operation.
The continuation of this project is noteworthy. Not only does it
continue one of the earliest established programs that had been put in
place, but it speaks to the commitment of the Norfolk and Southern to
identifying and maintaining programs that work for the employees to
increase rest and decrease fatigue. One concern however, might be
whether adequate resources exist to operate trains in this corridor if
employees are not able to take a day off at least once every seven days.
Assigned Service
The NS has continued its commitment to developing schedules in which
train crews operate in assigned service. Statistics provided from
1997-1998 indicate that 66% of road trains and 95% of yard trains are
assigned. Efforts to increase the number of crews operating at assigned
times are underway. The Kansas City pilot mentioned above provides
employees with a scheduled call time at the home terminal as well as
assigned rest days. Meetings have been held in several other locations
to increase the number of crews in assigned service on the busiest
corridors in the NS system.
One concept being considered on the Cincinnati-Danville run is called
preferred pool service. Under this arrangement two crews are assigned to
protect two trains, one northbound and one southbound, on an alternating
basis of one day on and one day off. Crews operate southbound from their
home terminal and northbound from their away-from-home terminal in
approximately six hours. Crews in this service lane have a 24-hour off
duty period between runs every other day.
Other Scheduling Projects
Several other projects are awaiting ratification at various locations.
These involve both an extra board with a one-day rest period and a pool
with a seven or eight day rest period with one day off in Birmingham
Alabama.
Minimum Undisturbed Rest
As was discussed in previous reports the NS has a policy of minimum
undisturbed rest following service. NS has explored this policy since
1995. Most notably, in 1997, the NS instituted a system-wide policy of
ten hours undisturbed rest at the home terminal. Some locations have
negotiated change in this policy, at away-from-home terminals depending
upon the occurrence of short distance runs that might then result in a
quicker return to the home terminal. In October 1998, NS implemented a
policy of offering employees the option of 24 hours of undisturbed rest
after working seven consecutive days. This policy is still in effect.
However, it is unclear from material provided whether employees are
taking advantage of this policy. In addition, NS has recommended 7:00
A.M. markups for all employees returning to service after a vacation of
one week or more. This has become formal policy in several locations.
Lodging Facilities
The Work/Rest committee has also addressed the important topic of
lodging facilities. While no new initiatives are underway at this time
the committee has addressed this topic and has placed it on its agenda
for further review.
Technological Countermeasures
The Work/Rest Committee examined the possibility of utilizing
technological countermeasures in the assessment and monitoring of
fatigue in locomotive engines. The committee explored the possibility of
using the PERCLOS video monitoring technique. However, at one of its
meetings decided not to pursue this technology.
Comment
NS has made considerable progress in addressing work/rest and fatigue
issues on the NS system. As noted above the pilot projects in work/rest
scheduling represent a significant increase in activity designed to
address fatigue. Moreover, the continuation, with slight modifications
of the Elkhart - Chicago IMPAC project, given the extensive research
that went in to establishing the program in the first place, is
commendable given the operational pressures to perform following the
Conrail acquisition. Hopefully, the projects at Buffalo will also be
continued. Finally, while considerable progress has been made,
discussions about napping while on duty are continuing. Many of the
other railroads have adopted a napping policy under certain controlled
circumstances. The NS may consider developing a napping policy in the
future.
Conclusions
Source: School of Education - University of Denver
The previous two years have seen an increase in the number of
projects initiated in an attempt to develop system wide effective
fatigue countermeasures in the railroad industry. In order to appreciate
the progress that has been made a table with railroads and their
performance in the eight areas identified by NARAP has been prepared. As
can be seen there have been considerable progress made in the area of
napping and education. Most of the Class I railroads have adopted a
napping policy. In addition, considerable effort has gone in to
improving management and employee knowledge the effects and management
of fatigue. There has been somewhat of a retreat from scheduling
programs.
Table 12. Countermeasures activities of major railroads.
| Counter Measures | BNSF | UP | NS | CSX | KCSR | Amtk | CN | CP |
|
Scheduling (TY&E) |
||||||||
| Minimum Hrs of Rest | 10 | 10 | 11.5 | 10 | 10 | 10 | 10 | 10 |
| Max Hrs of Rest 10, 12, 14 | Many | Many | ||||||
| 18 hr rest request | Pilot | Pilot | ||||||
| Sites with Time Windows | None | Pilot | None | None | None | None | 3 | 1 |
| Sites with Assigned Days Off | 72 | 100 | 3 | 90% | ||||
| Percent Scheduled | 66% | 62% | 77% | |||||
|
Napping |
||||||||
| Sites Using Naps | All | All | 0 | All | All | All | 1 | |
| Napping Facility Sites | 0 | 0 | 0 | 0 | 0 | 11 | 0 | |
|
Technological Countermeasures
(most not considered feasible) |
||||||||
|
Cab
Modifications
(headsets and enhanced seating) |
Yes | Yes | Yes | Yes | Yes | 25% | Yes | |
|
Educational Programs
(percent of T&E receiving) |
||||||||
| Brochures/Workbooks | 100% | 100% | 100% | 100% | ||||
| Video Tapes | 100% | 100% | 100% | 100% | ||||
| Training Seminars | 100% | 95% | 12% | 100% | ||||
|
Sleep Disorder Assessments |
||||||||
| Sleep Apnea Screening | No | Yes | Yes | No | ||||
|
Crew Rest Facilities |
||||||||
| Special Facilities | 1 | 16 | ||||||
| Criteria for Lodging Facilities | Yes | Yes | No | Yes | ||||
| Lodging Evaluation Program | Yes | Yes | Yes | No | No | No |
It should be noted that these programs are extremely difficult and
complex to implement. Accordingly, most railroads have major pilot
projects under study to develop operationally effective methods of
managing these fatigue countermeasures. Finally, agreements with
assigned days off have been put in place in many locations. However,
complex contract negotiations are necessary to develop agreements that
satisfy all parties and permit effective implementation.
Labor and Management Issues Regarding Fatigue
The fatigue issue in the railroad is more than just a safety issue.
While many would suggest that the science behind the fatigue issues is
the driving force it may surprise many to know that critical financial
and quality of life issues must be considered when attempting to
understand and identify effective fatigue countermeasures.
Fatigue on the railroad is related to financial issues for several
reasons. First, over time the BLE and UTU have negotiated contracts that
they believe are in the best interest of their membership. In order to
maximize earnings the union members have agreed to a contract that
places them on 24-hour call to respond to need of the carriers. Over the
years, these contracts have been made with the attempt to maximize the
earnings potential of the membership. Earnings however, are still for
the most part based on a mileage rate of a little over $1 per mile.
Employees who regularly work in designated territories are referred to
as "pool" crews. Such crews are generally subject to call at anytime and
receive their assignments under the principle of "first in, first out."
Local labor and management representatives periodically adjust the
number of employees in the pool to prevailing train traffic so that each
employee will operate a certain number of miles each month. So, in
locations where there is a long distance between terminals the employees
are able to receive a high degree of compensation, often with fewer
"starts" per month One good example is the run between Spokane, WA and
Whitefish, MT, a distance of about 300 miles with minimal congestion.
Engineers on this route are able to make the run in under 10 hours, make
about $300 per trip, and have a 16 to 20 hour layover. Engineers in
Bakersfield, CA, on the other hand, run to Barstow, CA. The route is
over rugged terrain and a trip of about 115 miles can take about 9 hours
depending on congestion etc. and most also have a 10 to 16 hour layover.
So, people in this district must make twice as many trips as those on
the longer run in MT to realize the same earnings.
When there is discussion of changing the hours of service rules or
altering the schedule to manage fatigue most railroad employees
immediately get concerned about the impact on their pocket book.
Life style is another component of the fatigue issue. In many locations
the work force is bimodal distributed with respect to age. There are a
number of people who have over twenty years of seniority and there are a
smaller number with fewer than 5 years of seniority. The demographics of
the workforce then consists of one group of individuals who have raised
families and gotten their children into college and another group that
is younger and just getting started raising families and buying homes.
The more senior groups are looking for life style changes that allow for
more leisure time while those in the younger groups are looking for
earnings potential and more predictable schedules. To the extent that
fatigue countermeasures do not interfere with earnings potential, and at
the same time promote leisure and family time, they will be supported by
the local work force.
At the same time, the nature of the work and the technological changes
within the industry have created a change in the ability of the
workforce to increase their earnings. The earnings potential of members
the BLE-UTU unions is limited to the number of trips that can be made.
Over the past 15 years several changes have taken place that have
resulted in decreased crew size and longer runs in many locations. On
the one hand, technological advances have increased the quality of the
locomotive cab environment in the last 10 years. There are a significant
number of air conditioned and quieter locomotives. However, the
improvements in locomotive efficiency and power, decreased need for
large numbers of car movements, the advent of unit trains, etc. have
contributed to the pressure to decrease the number of employees and to
an increase in the number of trips that can be made.
The situation has gotten to the point where the only way to increase
earnings is to increase the number of trips that are being made.
Consequently, there are a number of people at various locales that
expect to work a considerable amount in order to maintain their
lifestyle. These individuals are not very likely to agree to any changes
in the work rules or schedule that would essentially decrease the
earnings that they have recently gained. Moreover, in some cases, a
change in the hours of service could increase the time between trips and
therefore decrease the earnings of a particular individual.
Management has also benefited greatly from the technological advances
over the past 15 years in terms of improved efficiencies etc. The bottom
line has improved due to decreases in crew size and better utilization
of equipment. Consequently, an increase in the hours between trips, or a
change in the hours of service rules, could result in the need to hire
additional employees to meet service demands. So, there are incentives
for both management and labor to resist the implementation of fatigue
countermeasures that might negatively affect earnings. Regardless of the
hours of service act, any fatigue countermeasure that does not favorably
impact both parties will face considerable opposition.
The opposition to change is considerable in some locations. Anecdotal
reports describe the efforts that union leaders have made trying to move
their lodge brothers to a more relaxed attitude and approach to fatigue.
In several locations union members have been so opposed to any change in
the way that things are done that members have attempted to suppress the
adoption of measures to reduce fatigue.
Never the less, some specific proposals have been put forward for
schedules that are thought to be improvements in the way that fatigue is
managed. One of these proposals involves a schedule of 10 days on and 5
days off per half. The idea is that employees will be able to know when
they are going to have days off. Allowing them to plan their leisure and
other personal business activities. This approach has been offered
instead of the 8-3 approach because it is thought to be less problematic
with respect to various agreements.
There are several advantages to the 10-5 approach. As with all
scheduling approaches, employees enjoy some level of predictability in
their work as well as the ability to spend more time with their families
or personal business. In addition, five consecutive days off provides an
extended period for employees to recover from any sleep deficit they may
have developed over the course of their work period.
Several, problems may also be encountered with the adoption of such a
program. First, there is the issue of extended work. Working 10 days in
a row could be a challenge to some people. Research by Rosa et. al.
(1988) found that performance errors increased after four days on a 12
hour schedule. Heselegrave & Rhodes found that performance errors
increased by 15%-18% over a five-day midnight schedule workweek. Second,
time off between the shifts may be reduced resulting in an increase in
fatigue in a 10-5 schedule. This issue arises in conjunction with the
problem of "schedule compression". This term refers to the need to speed
up the work-shift cycle in order to be able to get in a sufficient
number of trips in the designated time period. Most union locals like to
get about 20 trips per month. In order to get in 20 trips in one month,
and still only work 20 days, as would be needed in a 10-5 arrangement,
it would be necessary to work every day or a least once every 24 hours.
Another issue that local groups face when considering the adoption of
the 10-5 schedule from the management point of view has to do with the
constraints of contracts. The UTU, BLE and National Carriersí Conference
Committee signed an agreement in principal that would make any adoption
of solutions designed to address fatigue as cost neutral. This principle
reduces the tension of trying new approaches and stems from early pilot
projects which provided guaranteed income to employees. The approach,
however, may also create difficulty by raising expectations for
additional compensation.
Some interpretations of the cost neutral agreement refer to what a
person obtains in a pay period, not what the person is able to make over
a month or a quarter. With this interpretation concern may arise over
some scheduling approaches. For example, depending on the timing of a
pay period, an 8-3 schedule might result in an employee working only 8
days in a two-week pay period. While the following pay period would have
more paid days, the resulting variability in paychecks may be a problem
for some employees. Furthermore, this variability in pay may not meet
the criteria of "cost neutral" from the point of view of the union
membership or for management either as they are not paying the same
amount as is expected. These issues are extremely situation specific to
individuals at the local level. Consequently, generalizations are
difficult to make.
From the labor perspective, another concern of scheduled work is being
on an assignment that has not finished prior to oneís scheduled rest
days or receiving a call to work or being called to work prior to a rest
day. For example, if one were to get called at 11:45 P.M. when oneís
rest day begins at 12 Midnight the length of the trip and layover could
eat up the time allotted to rest. Current agreements do not address this
issue.
Another important consideration with respect to implementing fatigue
countermeasures has to do with the railroad culture of "working when you
want". Many people joined the industry with the expectation that they
would be able to work as much as they wanted or were physically able to
do. This may be an issue for people who are younger. The belief that a
union member can pick and choose when and how much they want to work,
offers a psychological measure of control that increases satisfaction
with railroad work and serves as an important buffer against the
negatives associated with the work.
These are some of the most common issues that are raised when
considering the implementation of fatigue countermeasures. Both parties
believe that it is important to address ways of managing fatigue.
However, considerable effort is needed to creatively address the
obstacles to implementation.
Best Practices in Fatigue Countermeasures
Having described the obstacles it is imperative that a quick review of
the successes be made before closing. Looking across the railroad
industry there are a number of key developments that deserve attention
and that can be termed best practices. These practices are evident in
different railroads and in different locations. They should be
considered when planning or developing new and effective fatigue
countermeasures.
Assigned Days Off
The practice of giving employees assigned days off after an extended
period of work is a very effective method of managing fatigue. This
method is perhaps the most effective if a person is going to have
extended or variable work schedule. It permits a person to recover from
sleep loss and also to plan for family, social and personal needs.
Assigned days off should be sufficient in number to allow both recovery
from sleep loss, rest, and family, social or personal needs.
Napping
The practice of allowing opportunity naps while on duty under
predetermined and controlled circumstances is a very effective method of
managing fatigue on a short term basis. Napping should not be a
substitute for proper rest either at home or on a layover. However, many
circumstances can contribute to difficulty in getting rest when it is
scheduled, a sick child, an unexpected crisis, other family duties and
responsibilities, and circadian rhythms.
Most of the Class I railroads have adopted a policy of napping on the
job. This policy gives an employee permission to sleep if necessary.
Usually, if a person is very tired it is more beneficial to take a nap
than to try to function. It is during these times of intense fatigue
that a short nap will enable a person to regain their ability to
function effectively and safely.
Currently, various railroads have plans in place to provide anywhere
from 1 to 5 assigned days off. The issue of course is balancing a
compression of the work cycle to achieve a sufficient number of days
off.
Educational Interventions
Clearly the most helpful intervention is for employees to be well
educated as to the effects of fatigue and how to manage them. All of the
railroads have implemented educational programs of varying types.
Seminars, videos, and plenty of readily available brochures are the most
common and the most effective means of conveying information to railroad
employees.
In addition, more and more anecdotal evidence suggests that in order for
specific interventions to be helpful and accepted educational efforts
need to be directed towards the individuals at a specific location.
These educational activities must assist the local employees in
understanding how proposed interventions will work and how they need to
be managed off duty.
Work/Rest Consultation
In addition to TY & E employees many non-operating crafts also encounter
fatigue challenges. Maintenance of way, engineering, and signal
personnel also may find themselves dealing with odd or long hours away
from home and possibly in different time zones.
A very effective use of the information obtained from the science of
fatigue has been shown to be useful in improving management of work
teams. Some evidence from large railroad work projects has shown that
describing the effects of shift work and early starts on alertness and
performance can be effectively adopted by local management in
effectively planning and utilizing work force personnel.
Conclusion
These are just some of the best practices that have been observed in the
railroad industry. At this juncture these seem to be the most useful and
most easily adopted. Both Cclass I and short-line railroads can easily
implement these best practices with little or no difficulty.
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