Human Factors R&D Program Office of Research and Development The Australian Approach to Fatigue Management: Context and Details Michael Coplen, M.A., Co-Chair, HFCC Operator Fatigue Management Initiative Federal Railroad Administration Stephen Popkin, Ph.D. Co-Chair, HFCC Operator Fatigue Management Initiative Volpe Center April 22, 2003 Washington, DC
Transcript
Slide 1
Human Factors R&D Program Office of Research and
Development The Australian Approach to Fatigue Management: Context
and Details Michael Coplen, M.A., Co-Chair, HFCC Operator Fatigue
Management Initiative Federal Railroad Administration Stephen
Popkin, Ph.D. Co-Chair, HFCC Operator Fatigue Management Initiative
Volpe Center April 22, 2003 Washington, DC
Slide 2
Human Factors R&D Program Office of Research and
Development Overview Why Australia? Evaluation Questions Fatigue
Context Factors in the Australian Railroad Industry Principles and
Philosophy of the Australian Approach OH&S Framework Perceived
benefits and current challenges Next Steps Human Factors R&D
Program Office of Research and Development
Slide 3
Human Factors R&D Program Office of Research and
Development Background: History of Sleep And Fatigue Research
Pre-1930s Sleep seen as a subjective state 1930s EEG objective
measures of sleep 1954 Discovery of REM Sleep 1960s Medical focus
on sleep research 1970s Explosion of research on sleep, performance
and fatigue 1983 Congressional Hearings on Biological Clocks and
Shiftwork Scheduling Post 1984 Federal Investigations of fatigue
accidents Wiggins, CO, 1984 Woodford, CA, 1994 Newcastle, WY, 1984
Keenbrook, CA, 1994 Hinton disaster, 1986 Sugar Valley, GA, 1990
Thompsontown, PA, 1988 NYC Subway, 1995 Corona, CA, 1990 Kingman,
AZ, 2000 Harrisburg, OR, 1991 Clarkston, MI, 2001 Eggleston, VA,
1992 Wendover, UT, 2001 Norway, NE, 1994 Hallsville, TX, 2001
Haymond, TX, 1994
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Human Factors R&D Program Office of Research and
Development Background:History of Sleep and Fatigue Research
(continued) 1988 Sleepiness, Circadian Dysrhythmia and Fatigue in
Transportation Accidents journal article 1988 Catastrophes, Sleep
and Public Policy journal article 1989 Senate Committee Report
Transportation-related Sleep Research 1990 The Hinton Train
Disaster journal article 1992 GAO report Engineer Work Shift Length
and Schedule Variability 1993 GAO report Human Factor Accidents
& Issues Affecting Engineer Work Schedules 1992 Transport
Canada Fatigue Report on Rail Operator Fatigue 1998 Sherry Report
on Current Status of Fatigue Countermeasures 2000 DOT Operator
Fatigue Management Initiative
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Human Factors R&D Program Office of Research and
Development Why Australia? European approach Very prescriptive Low
tolerance to business case when compared against perceived worker
well-being Current US approach Prescriptive Improvements hampered
by current HOS law, FELA issues, trust Low tolerance for changes
without a business case AUS approach Non-prescriptive Regulator
responsible for driving and enforcing the process, not
solution
Slide 6
Human Factors R&D Program Office of Research and
Development Why Australia? 4 th International Conference on Fatigue
in Transportation, 2000 Emphasis on Non-prescriptive Approaches
Similar Scientific/Regulatory Pressures RE fatigue Similar Industry
Fatigue Working Groups US Work/Rest Task Force formed in 1992
Australian Rail Consortium formed in 1995 US NARAP formed in 1998
Fatigue Management Implementations in both US & AUS US pilot
projects fading AUS pilot projects sustainable Difficulty in FRA
assessing and addressing fatigue Labor and management feel a threat
to their bottom line No reliable methodology to determine extent of
problem or effectiveness of interventions
Slide 7
Human Factors R&D Program Office of Research and
Development Why Australia? 2003 Meeting Schedule State Rail,
Sydney, New South Wales (NSW) Pacific National Railway, Sydney Rail
Tram and Bus Union (RTBU), Sydney NSW Department of Transport,
Sydney Australian Rail Track Corp. (ARTC) Australian Railroad Group
(ARG) University of South Australia 5 th Intl Conference on Fatigue
in Transportation Australian Rail Consortium
Slide 8
Human Factors R&D Program Office of Research and
Development Evaluation Questions Is the Australian approach
successful? What are the principle contextual factors influencing
the process? What are the principle components of the Australian
model? How can AUS approach be applied to the US rail industry?
What does this suggest for future directions of FMPs in the US
transportation industry?
Slide 9
Human Factors R&D Program Office of Research and
Development FMP Contextual Factors In the AUS Railroad Industry
1986 Occupational Health and Safety and Welfare Act (SA) 1991
Hillmer Report Privatization of RR industry 1993 Rail Safety Act
(NSW) Revisited every 5 years 2002 Act require FMPs as condition of
accreditation Consultative approach with all stakeholders 1994 EEO
Act 1995 Australian Rail Consortium formed 2000 Beyond the Midnight
Oil Report Commonwealth inquiry on fatigue in transportation 2002
NSW Rail Safety Act First state to adopt FMP as a regulation
Slide 10
Human Factors R&D Program Office of Research and
Development FMP Contextual Factors In the AUS Railroad Industry No
Federal Rail Regulatory Authority State Regulators only HOS All
industrial agreements (labor/mgt.) NSW is only state with HOS
regulation OH&S State by state laws Requires safety case plan
for each company De facto Code of Practice developed for each
company Duty of care for employer and employees Chain of
responsibility between employee, employer, and consigner Federal
OH&S apply only to Commonwealth employees EEO laws Precludes
age discrimination Interpreted to include seniority
Slide 11
Human Factors R&D Program Office of Research and
Development Principles and Philosophy of Australian Approach
OH&S framework Management-based regulations and company
policies Alternate compliance model Risk-based implementation
Performance-based outcomes
Slide 12
Human Factors R&D Program Office of Research and
Development OH&S Framework Legal duty of care, varies state by
state Required by regulator to have a safety plan Established in
OH&S legislation Fatigue identified as a workplace hazard to be
controlled Medical pre-placement requirements General sensitivity
towards general medical conditions and treatments that may affect
fitness for duty Include sleep disorders Duty of care for managers
and employees
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Human Factors R&D Program Office of Research and
Development Duty of Care Shared Responsibility Model Management
responsibility Employer responsible for minimizing risk associated
with work related fatigue Providing staff and shift system that
permits sufficient opportunity to rest and recover Employee
responsibility Employee responsible for minimizing risk associated
with non- work related fatigue Using allocated time off to obtain
sufficient sleep in order to work safely If not possible, employee
must notify employer that they may have had insufficient sleep
Slide 14
Human Factors R&D Program Office of Research and
Development Management-based Regulations Co-regulatory process, few
regulations Broad policy level guidelines, not overly prescriptive
Certified company Codes of practice driven by state regulations
Role of regulator to drive process, not solution NSW audit
capability can compel compliance to certified safety plans
Slide 15
Human Factors R&D Program Office of Research and
Development Employee Responsibility for Sufficient Sleep The 5/12
Start Rule (based upon literature and collected data) Must obtain 5
hours sleep in 24 hours prior to work; and 12 hours sleep in 48
hours prior to work The Finish Rule The period of wake-up time to
the end of the shift should not exceed the amount of sleep obtained
during the past 48 hours prior to commencing the shift The Final
Rule If either rule is broken, fatigue is a potential problem and
the organization should engage in an auditable fatigue risk
reduction process
Slide 16
Human Factors R&D Program Office of Research and
Development Employee Responsibility for Sufficient Sleep If start
and finish rule not met, then must notify line manager. Options
include: Additional sleep time Alternate task Sick leave
Performance management approach In event of fatigue-related
incident, if employee fails to notify, then Employee assumes at
least partial responsibility
Slide 17
Human Factors R&D Program Office of Research and
Development Obtained Sleep Metric Sleep in prior 48 hours Sleep
Work Wake-up End-of-shift Sleep in prior 24 hours AB Time
Awake
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Human Factors R&D Program Office of Research and
Development Quantifying Sufficient Sleep Rules are evidence-based
from engineers sleep studies Software-based fatigue model (fatigue
estimation algorithm, FAID) Evidence based data from engineers
Length and time-of-day of shifts and breaks 7 day prior work
history Biological limits to rest and recovery Obtained sleep model
Simple, objective, easy suited to employees and management Count
sleep prior to commencing work Spreadsheet or paper-and-pencil
versions available
Slide 19
Human Factors R&D Program Office of Research and
Development Employer Responsibility for Minimizing Fatigue Fatigue
Management Policy Defined responsibilities and actions for
reasonably foreseeable situations Accountable executive Demonstrate
appropriate methodology and compliance with S/F rules
Competency-Based Training and Education Program For all staff
responsible for decisions that impact on the targeted individuals
opportunity to obtain sufficient sleep Public domain provision of
hard copy available to all Web-based materials Audit capability
Must have quantitative methodology for ensuring employees provided
with opportunity to have obtained sufficient sleep to operate
safely
Slide 20
Human Factors R&D Program Office of Research and
Development Evaluation of AUS Approach: Perceived Benefits FMPs
viewed as a profit center rather than a cost centerFMPs viewed as a
profit center rather than a cost center Attraction and retention
tool Marketing strategy, competitive advantage Sustainability and
commitmentSustainability and commitment Unified direction with
Australian Rail ConsortiumUnified direction with Australian Rail
Consortium Regulatory standards being adopted from Codes of
Practice and company policiesRegulatory standards being adopted
from Codes of Practice and company policies
Slide 21
Human Factors R&D Program Office of Research and
Development Evaluation of AUS Approach: Current Challenges No
objective data establishing successNo objective data establishing
success Some workers still prefer long work periods and long blocks
of time offSome workers still prefer long work periods and long
blocks of time off Labor seeks mandatory federal standards to
establish floorLabor seeks mandatory federal standards to establish
floor minimum guaranteed time off minimum shift length maximizing
pay potential still an issue Regulatory process for FMPs moving too
quickly for someRegulatory process for FMPs moving too quickly for
some Consultative process for accrediting FMP excludes labor
Improper applications of FMPImproper applications of FMP FAID
applied as a rule, not a tool in new implementations Regulatory
pressures for simple solutions Incomplete transfer to other work
groups No buy-in process or tailored solutions for 2nd
generation
Slide 22
Human Factors R&D Program Office of Research and
Development Summary Rapidly evolving and continuously changing
processRapidly evolving and continuously changing process Currently
few regulations Highly flexible States learn from one anotherStates
learn from one another Companies learn from one anotherCompanies
learn from one another Trend toward national minimum standardsTrend
toward national minimum standards Effective practices approach,
informal
Slide 23
Human Factors R&D Program Office of Research and
Development Conclusions Better objective evidence and documentation
of fatigueBetter objective evidence and documentation of fatigue
Monitoring and evaluation of program performance neededMonitoring
and evaluation of program performance needed Australian contextual
factors have fostered an environment suitable for flexible FMP
solutions and implementationsAustralian contextual factors have
fostered an environment suitable for flexible FMP solutions and
implementations FMPs are sustainable due to the OH&S act, EEO
interpretation, and the view that FM is a business benefit, not a
cost itemFMPs are sustainable due to the OH&S act, EEO
interpretation, and the view that FM is a business benefit, not a
cost item Buy-in strategies are critical; must go through
appropriate processBuy-in strategies are critical; must go through
appropriate process Further exploration of value of the Australian
approach neededFurther exploration of value of the Australian
approach needed
Slide 24
Human Factors R&D Program Office of Research and
Development Proposed Next Steps Determine who within the
transportation enterprise is interested in this approach and
participating in furthering its developing here in the USA Conduct
In-depth Evaluation of Australian FMPs Evaluate outcomes and
objective benefitsEvaluate outcomes and objective benefits Verbal
agreement from AUS Rail Consortium for dataVerbal agreement from
AUS Rail Consortium for data Availability of operational data
(close call and leading indicator data)Availability of operational
data (close call and leading indicator data) NSW accident dataNSW
accident data Conduct Benchmarking, Lessons Learned and Effective
Practices Studies Develop White Paper on Applicability of AUS
Approach to US Rail Industry Develop Improved Fatigue Data
Collection and Surveillance Systems Investigation protocols
Record-keeping
Slide 25
Human Factors R&D Program Office of Research and
Development Questions & Feedback