Human Factors Projects

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.

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 identified 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. The second phase tested several devices in two locomotive simulators. The project is complete and a draft final report should be completed in FY 2004.

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 has been completed. Final report in process of review.

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. This project will continue through FY 2004.

Dispatcher Training Evaluation and Selection

A project is underway to provide recommendations to the FRA on how the quality, uniformity and efficiency of dispatcher training can be improved. Recommendations on training practices, training standards and the amount of training required, both for the initial training of new dispatchers and for periodic refresher training, were published in a report in FY 1999. Information concerning training performance objectives, syllabi, and test designs will next be used as the basis for recommendations for more effective dispatcher selection. The project has been completed. Final report in process of review.

Knowledge Display Interfaces

Knowledge Display Interfaces are one of the component elements of Intelligent Railroad Systems described in Chapter 2 of the 5-Year Plan. In future railroad operations, digital data links and computer displays will be the norms for moving information among locomotive engineers, dispatchers, and traffic managers. Improved ways of displaying information to them to facilitate their comprehension and use of it will be essential if full use of their potentials as well as the potential of the technology is to be realized. This new technology can be expected to increase safety while increasing traffic density and speed if information is shared between decision-makers and operators and acted upon properly. This joint project with Amtrak and the MIT Media Laboratory has two purposes: (1) to evaluate alternative display concepts, and (2) to provide railroads with innovative digital display environments to enable exploration, analysis, and development of strategies to strengthen and coordinate safe decision-making for new higher-speed operations on the Northeast Corridor. Future work will explore implementation of the technology in freight operations in collaboration with an industry partner. This project is projected to continue through FY 2003.

Crew Resource Management

Recent studies by the Federal Aviation Administration (FAA) of airline cockpit crews, as well as other studies of surgical operating room staff and other informal teams, indicate that the interactions among the members of such teams is a major determinant of human errors. Teams of professionals assembled to perform a specific task during a limited period of time (fly a jet between two cities, or remove an appendix from a patient) often commit life-threatening errors because of misunderstood roles, faulty expectations, and lack of adequate communication. Train crews— engineer and conductor/brakeman and the dispatcher—are also informal teams, and may suffer from similar problems. Moreover, as the railroad industry continues to modernize, it can be expected that such informal teams will also include maintenance personnel. The objective of this project is to examine the crew interactions that exist in current railroad operations which effect safety and to develop strategies to enhance safety through more effective “teaming.” This project is currently in progress and is expected to continue through FY 2004.

Workload Transition Effects

Rapid transitions between periods of high workload and low workload are typical of current train operations. Such workload transitions are known to adversely affect situational awareness (knowledge of present place, time, and circumstances) and can result in serious operational errors. The purpose of this project is to determine the extent to which rapid workload transitions affect train-handling performance and to develop strategies to ameliorate this effect. This project is planned to commence in FY 2002 and will continue through FY 2005.

Digital Communications

This project will examine the human factors implications of the use of digital communications among locomotive engineers, roadway workers, and dispatchers. Currently, such communications are conducted by voice; and previous work has shown that voice communications are far less efficient and precise than digital communications. Given current advances in technology, a transition from voice to digital communication is a certainty. This transition, however, is also certain to change the tasks (broadly defined) of locomotive engineers. This project will determine the human factors safety implications of this transition. A transition to digital communications without careful observation of the effect on railroad staff could lead to serious safety problems. The project is expected to continue through FY 2003.

Cognitive Task Analyses of Railroad Occupations

Cognitive task analysis (CTA) is a hybrid methodology that combines field observations with structured interviews to build and progressively refine an understanding of the demands of a job and the knowledge and strategies that are used by experienced individuals to respond to those demands. CTA describes the mental planning of tasks, rather than the physical actions that are carried out. CTA allows the identification of the cognitive skills needed to perform a task proficiently, and is primarily valuable for tasks that depend on cognitive aspects of expertise. Many safety critical jobs (e.g., dispatcher, locomotive engineer) in the railroad industry depend on cognitive expertise, and our ability to understand the human factors safety implications of changes in technology (e.g., digital communications, new displays) or operating practices (e.g., teaming of operating personnel) directly depend on the information that CTA provides. This project will provide basic CTAs for safety critical railroad occupations and specific CTAs, as required, to support other projects, such as the Teaming and Digital Communications project. This project is in progress and is expected to continue through FY 2003.

Locomotive Cab Working Conditions

In 1992, Congress enacted Section 10 of the Rail Safety Enforcement and Review Act (Public Law 102-365), which required FRA to assess the extent to which environmental, sanitary and other working conditions in locomotive cabs affect productivity, health and the safe operation of locomotives. Subsequently, the Human Factors Program has provided research support to FRA’s Office of Safety and the RSAC on Locomotive Cab Working Conditions in examining the effects of air quality, noise, temperature, vibration and sanitation on locomotive crews. A Notice of Proposed Rulemaking for locomotive cab sanitation has been published, and work continues on other working conditions issues. This project will continue through FY 2005.