FEDERAL RAILROAD ADMINISTRATION : FREIGHT RAILROADING

Chapter 4
Railroad Research and Development Program

Section 4.2
Human Factors

Human factors accidents occur in the railroad industry in two primary areas: train and maintenance operations, and grade crossings. Operating practices R&D projects address human factors accidents in yard and terminals and in mainline train and maintenance operations. The grade crossing elements of the Human Factors program address the effectiveness of warning and barrier systems at grade crossings, on trains, and in motor vehicles that can reduce accidents. The Human Factors program element provides analytical and technical direction and support to reduce the number of accidents, deaths, and injuries due to human error, and to reduce the rate of railroad employee-on-duty fatalities, injuries, and illnesses.

The Human Factors program element also supports the concept of Human-Centered Transportation Systems, which presents an approach to the design, development, and implementation of technologies to improve transportation system safety, reliability and productivity. The “human-centered systems” approach focuses on human capabilities and limitations with respect to human/system interfaces, operations and system integration. Increased attention to human performance and behavior will reduce crashes, loss of life, injuries, property damage, and resultant personal and financial costs. All the projects described below incorporate the “human-centered systems” philosophy in their design and seek to further the use of scientific information about human behavior and performance to reduce railroad accidents.

Why a Priority?

Since 1985, human factors accidents have accounted for approximately one-third of all railroad accidents and half of all yard accidents. In 2000, 1147 human factor-caused accidents occurred, which were 38 percent of the total accidents.

The reduction of human factors accidents requires examination of current railroad operating practices and, given industry trends, anticipation of the future safety of current practices. Yard and terminal accidents may be caused by shortcomings in operating practices that include the methods and materials that are used to train and test employees in the performance of their jobs, the methods and materials that are used to perform specific jobs and tasks, the rules that govern job and task performance, and the general interaction of employees with the job environment and supervisors. Operating practices can result in human factors accidents for a variety of reasons. For instance, lack of training may cause accidents because the training methods are inadequate or inappropriate, or because the training materials lack readability or are inappropriate for the education level of the employees, or because the testing methods are lax. Disproportionate numbers of human factors accidents in specific job categories or environments currently provide the best indication that operating practices should be critically examined.

Operator fatigue, especially when it involves locomotive engineers, can have catastrophic consequences. However, the number of human factors accidents that have root causes in fatigue is not known. Railroad operations occur 24 hours a day and work schedules are not always predictable. Unlike workers in most heavy industries that have 24 hour operations, the Federal Hours of Service Act sets limits on the maximum number of on- and off-duty hours for railroad operating employees. However, accidents and injuries may still be attributable to the workload, stress, and fatigue allowed by work schedules that comply with the Hours of Service Act.

New technologies have been developed that hold promise for the measurement, detection, and/or prediction of workload, stress, and fatigue. Several projects in this program are designed to provide the necessary information about the effects of railroad work schedule characteristics on workload, stress, and fatigue to allow the selection of those solutions best suited to the current state of the railroad industry. The FRA recognized the potential for Hours of Service compliant work schedules to generate fatigue-induced accidents and injuries and, as a result, initiated the Engineman Workload, Stress, and Fatigue project. Crew scheduling, one of the components of Intelligent Railroad Systems described in Chapter 2, is expected to have a major impact in reducing fatigue among train crewmembers.

Consideration must also be given to future changes in the industry and the implications of such changes for workload, stress, and fatigue caused by work schedules. For instance, mergers, mixed freight and passenger traffic (possibly high-speed), and the consolidation of dispatching offices results in fewer dispatchers controlling larger territories by more use of advanced technologies and computerized aids. At present, researchers do not know whether current dispatcher work schedules and conditions are causing critical workload, stress, and fatigue problems. They also do not know whether increases in dispatcher responsibilities will increase workload, stress, and fatigue and whether changes in work schedules, technology, and computerized aids will decrease or increase those effects.

Grade crossings present a major hazard to motor vehicle drivers, as well as pedestrians, and are the greatest cause of fatalities and injuries in the railroad industry. In 2000, there were a total of 3,502 incidents at public crossings, resulting in 425 fatalities and 1,219 injuries. Many grade crossing accidents are directly due to motorist and commercial vehicle operator behavior. The majority of accidents occurred at passive grade crossings and it is not surprising, then, motorists and commercial vehicle operators not stopping caused that 53 percent of accidents. However, in many situations the flashing red lights were ignored. In 10 percent of accidents, the motorists and commercial vehicle operators actually went around or through lowered gates. Why motorists and commercial vehicle operators would take such risks is unknown, but motivations will be examined through several research projects over the next several years, which builds upon the research now underway.

Finally, because human factors related accidents and injuries account for such a large proportion of overall incidents, it is imperative that periodic evaluations be conducted to assess program strengths and weaknesses and provide direction for future improvement. Both internal and external factors that affect or influence the overall success of the Human Factors Program should be included in that assessment.

Objectives

Yard and Terminal Safety

The primary objective of the yard and terminal research is to determine the human factors aspects of railroad yard and terminal operations that can be changed to enhance safety. This research includes the manner in which specific jobs are performed, the design of the tools that are required to perform the job, and the circumstances in which the job is performed.

Train Operations Safety

The objective of the train operations safety research is to assess the current problem of operator fatigue within the railroad industry and to cooperate in the development of the tools to enhance safety. The primary focus will be to determine whether common work schedules encountered in railroad operations produce sufficient fatigue, lack of alertness, or stress in locomotive engineers and dispatchers, to compromise the safety and efficiency of their work performance. Related questions concern the amelioration of such fatigue and stress by adjustments in work schedules, crew calling procedures, hours of service regulations, and the exacerbation of fatigue by high-speed operations. The impact of emerging technologies (e.g., digital communications, computers, and GPS) on human performance and safety is also addressed.

Grade Crossing Safety

The objectives of the grade crossing human factors research are to:

Improve knowledge of driver behavior.
Improve driver warning systems, both visual and audible.
Improve knowledge of opportunities to reduce speed-related risks at high-speed crossing.
Evaluate Intelligent Transportation System concepts for grade crossing safety.

Program Evaluation

The objectives of the Program Evaluation effort are:

To assess the overall need for Human Factors research in railroad operations.
To develop specific performance goals and objectives based on the overall needs of the industry.
To develop a plan for implementing recommended improvements that will help achieve these program goals and objectives.
To develop performance indicators to be used in assessing the outcomes of the Human Factors Program.
To improve the overall effectiveness of the Human Factors Program.

Expected Outcomes

The Yard and Terminal Safety program plans to:

Identify and modify unsafe operating practices in yard, terminal, and maintenance-of-way operations.
Identify and modify ergonomic causes of yard, terminal, and maintenance-of-way injuries; and apply the Behavior-Based Safety Process.

The Train Operations Safety program plans to:

Enhance the understanding of the consequences of fatigue in locomotive engineers, dispatchers, and other operating personnel with regard to Hours of Service regulations, vigilance monitoring, high-speed operations, and rapid workload transitions.
Identify strategies for the formation of effective teams among groups of operating personnel.
Analyze cognitive tasks and strategies for safely incorporating new information display technology and digital communications into the railroad environment.
Develop guidelines and recommendations for design and evaluation of computer-aided and communication tools that support operating personnel.

The Grade Crossing Safety program plans to:

Increase public awareness of hazards at grade crossings through improved driver education programs.
Develop strategies to change risky behavior in motorists and commercial vehicle operators by understanding how they perceive risk and why they take risks that cause accidents.
Develop strategies to aid motorist decision-making during critical commuting periods.
Enhance understanding of human factors safety implications of intelligent grade crossing technology.
Improve motorist and commercial vehicle operator perception of train location through optimal acoustic warning systems.
Develop strategies to increase motorist and commercial vehicle operator acceptance of innovative warning systems.
Enhance understanding of the effects of grade crossing accidents on locomotive engineer performance and the effectiveness of standard counseling techniques.

The Program Evaluation effort plans to:

Identify key factors and resources needed, both internal and external to the agency, for achieving Human Factor Program goals and objectives.
Improve the feasibility of conducting Human Factors research in railroad operations.
Improve the utilization of Human Factors research results.
Measure the impact of the Program Evaluation effort.
Improve the overall effectiveness of the Human Factors Program.

Project Descriptions

YARD & TERMINAL SAFETY

One-Person Remote Operations

Devices to remotely control locomotives in industrial settings, such as steel plants, have been in use for nearly twenty years. Until recently, the use of these devices was not a concern to the FRA since these industrial operations do not fall under FRA jurisdiction. However, in the early 1990's several railroads began to use this technology in yard operations that are within FRA jurisdiction. This technology has the potential to increase productivity and reduce labor costs by enabling a one-person crew to perform all of the functions that were previously performed by a two-person crew. However, there are concerns that this increase in productivity will also degrade safety due to increased workload and fatigue, and other human factors issues. This project will assess the change in accident/injury risk associated with remote operations relative to normal yard operations. This project started in FY 2001 and is to be completed by FY 2003.

Ergonomic Issues and Root-cause Analysis in Yard & Terminal Injuries

Analyses of railroad supplementary injury and illness records in the Yard and Terminal Injury Evaluation project (completed in FY 2000) indicated that 25 percent of all injuries were due to trip/slip hazards, 23 percent were due to muscle strains, and 11 percent were due to lifting injuries. The Yard and Terminal Injury Evaluation project addressed the immediate causes of these injuries due to employee complacency and/or inadequate training, supervision, and safeguards. A follow-up, root-cause analysis of these injuries will now be performed to identify the chain-of-events that led to the immediate cause of the injury. Individual, environmental and managerial factors will be examined to formulate countermeasures to prevent the recurrence of similar injuries in the future. Some of these injuries may be due to poor ergonomic design and are preventable. This project will identify injuries with ergonomic causes and suggest means to remediate those causes. Among the topics to be addressed are switch stands, hand brakes, and belt packs used for the remote control of switching locomotives. This project (as did its predecessor, Yard and Terminal Injury Evaluation) also provides support to the Switching Operations Fatalities Analysis (SOFA) Working Group which has been examining the contributing factors to fatalities and serious injuries in switching operation. The project started in FY 2001 and is projected to continue until FY 2005.

Maintenance-of-Way Safety

Annually, approximately 10 percent of all on-duty casualties of railroad employees occur during maintenance-of-way operations. As is the case for yard and terminal casualties, anecdotal evidence indicates that there are four primary reasons for many of the incidents leading to these injuries:

Employee complacency leading to inattention to safety considerations while performing familiar tasks,
Inadequate training,
Inadequate supervision, and
Inadequate safeguards built into procedures and equipment.

The safety implications of fatigue will be a particular focus of this project. This project will identify improvements to reduce employee injuries and enhance safety. The project began in FY 2001 and is due to be completed in FY 2003.

Railroad Safety Culture: Behavior-Based Safety Process and Safety Rules Consolidation

Two projects are using the Behavior-Based Safety (BBS) Process, which applies behavioral analysis methods to attain continuous improvements in safety in industrial settings, to improve safety and change railroad safety culture. The BBS methodology identifies and observes safety-critical behaviors to provide positive peer-to-peer feedback for long-term, continuous improvements in safety. This approach has significantly reduced injury rates in many other industries. The success of this approach is not only driven by the systematic reduction of at-risk safety behaviors through peer-to-peer observation and feedback, but also by the systematic identification and mitigation of those organizational barriers (work environment factors, policies, procedures, etc.) which may stand in the way of reducing at-risk behaviors. Positive communication processes help establish commitment in the process at all levels of the organization, from senior managers to front line employees, often resulting in long-term changes in the “safety culture” of the organization.

The Consolidation of Safety Rules project is another approach to improving railroad safety culture. Hundreds of safety rules written in the early 1900’s are outmoded and do not function well with the existing needs of modern railroading. On some railroads, outmoded safety rules have been identified as an organizational barrier to improving railroad safety. It is widely believed that these outmoded safety rules, in conjunction with a punitive disciplinary process, result in a “blame cycle” between management, labor unions, and employees and often discourage the identification and elimination of unsafe behaviors in the workplace. The overall goals of this project are to:

Consolidate outdated safety rules into critical safety rules and guidelines for safety,
Write general safety rules and guidelines focused on safety-related behaviors rather than situation-and-site specific rules,
Include input from labor unions and line staff in the development of a new user-friendly safety rule book,
Utilize this Safety Rules Consolidation Project as a means of effecting positive change in safety culture.

The BBS process will be used to attain these goals, and the recently established Safety Assurance and Compliance Process in FRA’s Office of Safety, a non-punitive partnership approach between the federal government, railroad management and railroad labor, will assist in implementation. These projects began in FY 2001 and are scheduled for completion in FY 2004.

TRAIN OPERATIONS

Fatigue Tools

This project will develop tools to help detect, manage, and mitigate fatigue in railroad operations. The tools will be developed from fatigue models developed for the U.S. Air Force by Science Applications International Corporation (SAIC), and for the Australian Railroads by the University of South Australia. A minimum of two products will be developed: software and a protocol for determining the role of fatigue in accidents; and software for determining the fatigue produced by a schedule of work. Other tools may include software to analyze the fatigue-mitigating effects of napping strategies, and software to predict future individual alertness levels given a particular work/rest schedule. This project began in FY 2001 and is scheduled for completion in FY 2005.

Human Reliability Analysis in Positive Train Control

The reliability of complex systems is now a routinely analyzed aspect of systems engineering. However, while reliability analyses have been routinely performed on electrical, mechanical and chemical systems for many years, it has only recently been recognized that to minimize the probability of system failure, human reliability must also be considered. This project will, in consultation with the Office of Safety and the Railroad Safety Advisory Committee (RSAC) on Positive Train Control (PTC), determine the critical human failure modes in emerging PTC technologies and quantify the human failure probabilities. This project is currently examining the Communications Based Train Management system of CSX and is expected to continue into FY 2005.

Engineman Vigilance Monitoring

This project will explore recently developed technology to continuously monitor locomotive engineer alertness in real time. It is well known that people are not capable of accurately assessing their own level of fatigue and alertness. Devices that can monitor a person’s alertness in real time can be used to inform that person that they are at risk for falling asleep in the near future, thereby avoiding the use of faulty personal judgement. The first phase of the project will identify those technologies that appear to have promise for use in the locomotive cab environment. The devices should have demonstrated capacity to detect declines in alertness, be unobtrusive, and have user acceptance. At this time, several devices are under consideration for use in the second phase that will test the devices with locomotive engineers. The project is in progress and should be completed in FY 2002.

Dispatcher Readback/Hearback Training

Human error, including incorrect or inadequate communication, is a causal factor in many accidents. The job of a railroad dispatcher requires extensive verbal communication with train crews and other track users. “Readback/Hearback” refers to the process that a dispatcher and a track user employ in communicating instructions regarding authority for a train, inspection vehicle or track crew to occupy a specific segment of track. This process is intended to prevent miscommunication but its success depends upon the skill of the dispatcher. Air traffic controllers, who perform functions similar to that of railroad dispatchers, use similar procedures. The FAA Academy developed a training module: “ATC Communications,” to improve readback/hearback skills in air traffic controllers. These course materials will be analyzed and converted for use with railroad dispatchers. An evaluation process will be developed to assess training effectiveness, and printed course materials and videotape will be disseminated to railroad training organizations. The project is in progress and is scheduled for completion in FY 2002.

High-Speed Operator Stress and Fatigue

This project examines workload, stress, and fatigue issues within the special context of high-speed train operations to determine if there is a relationship between train operating speed, sleep loss, and work-rest cycles in producing operator fatigue. High-speed railroad operations cause forms of fatigue and stress that differ markedly from those due to circadian rhythms, sleep loss and work-rest cycles. High speed operations can affect the locomotive engineer in two ways: first, as speed increases, locomotive engineers are exposed to increasing sensory loads because they must scan the track and its fast-flowing vicinity with increasing intensity to detect signals and dangerous situations. Second, the process of information retrieval (track characteristics, landmarks, the Daily Operating Bulletin, operating rules, etc.) from the locomotive engineer’s memory becomes increasingly intensive with increased speed. Therefore, as speed increases, the workload of information processing and retrieval increases. The project uses the high-speed locomotive simulator developed cooperatively with the Volpe Center and Massachusetts Institute of Technology (MIT) to simulate various information loading scenarios for both locomotive engineers and dispatchers. This project is currently in progress and is expected to continue through FY 2003.

High-speed and Freight Locomotive Simulator Research Program

With the mechanical failure of the its locomotive simulator in Chicago, FRA will need to either purchase or lease a locomotive simulator to meet FRA’s research requirements. With the introduction of high-speed rail operation in the U.S., there is also a need to evaluate human factors issues related to high-speed passenger operations. In FY 2000, FRA initiated a project to evaluate the functional capabilities of Amtrak’s Acela high-speed training simulator for use as a research tool. Design modifications were then proposed which would allow the Acela simulator to function as a research tool. As a research tool, however, the Acela simulator would be mostly limited to research on high-speed operations and other cross-cutting issues that bridge both high-speed passenger operations and lower speed freight operations. Consequently, additional options were proposed as part of this study for the design of a research facility capable of simulating different types of locomotives and systems operations (freight operations, passenger operations, PTC systems, communications systems, in-cab displays, etc.) and evaluating the impact of those systems on locomotive engineer performance. There are four functional areas that could be supported by a research facility that included various types of simulation, modeling and computer-aided design:

Human factors and operations safety,
Track structures, materials and configurations,
Train dynamics, and
Advanced technologies.

Human factors and operations safety simulation research could support research into safety, usability, user acceptance, and efficiency of various railroad operations technologies, training methods and procedures in a safe environment without risk of injury or property damage. A locomotive simulator, along with a computer-aided design (CAD) software and supporting technologies could be used to design and test track structures, materials and configurations before any ground is broken or track is laid, enabling safe and cost-effective design and analyses. An interdisciplinary simulator research facility could also address train dynamics issues, by studying and modeling different train consists, draft/coupling technologies, and in-train forces to understand how different train dynamics models have on train crews and their performance, leading to safer equipment design and specifications. A state-of-the-art simulator research facility could also examine safety issues related to advanced technologies, such as in-cab displays, communication systems, and other Positive Train Control (PTC) technologies.

The next cycle of work in the high-speed and freight simulator research program will focus on identifying additional simulator research and data needs along those four functional areas, as defined by the industry, and then prioritizing those needs. Once these needs have been identified and prioritized through the development of a long-term strategic simulator research plan, recommendations can then be made for a simulator research facility that will accommodate the changing needs of the industry, in both passenger and freight operations. Specific recommendations for a simulator research facility will then be defined, including simulator system architecture, simulator system requirements, operational requirements, data collection requirements, and other physical requirements. Locomotive simulation research is an important component in FRA’s Human Factors Program. This programmatic effort will not only help define the long-term goals of the overall simulator research program, but will also will help ensure overall utility and effectiveness of the program to the industry, as well as enhance the performance of the Human Factors Program. This work is expected to continue through FY 2005.

Technology in High-Speed Rail Operations

Since the potential for highly or fully automated locomotive control systems first appeared in 1989, work in this topic area has been underway. The intent of the research in this area is to develop a better understanding of safety-related implications of various possible automation levels on operator qualifications, training needs, and performance. Preliminary studies have been completed on how human operators respond to varying levels of technical assistance as well as on how they respond to displays showing information about territory further down the track.

Work has concentrated on developing a more refined high-speed locomotive simulator to create more realism in the displays and the operational scenarios under study. Scenarios to be studied include current displays used by locomotive builders and new methods for potential preview displays of the rights-of-way and operational surroundings. How far ahead the operator needs to “see” will be evaluated. Work in subsequent years will address other human factor issues such as maintenance and management of new technologies for operating systems.&nb