1. Developing a Fatigue Management Program Using the TRACS Report Model
AMERICAN PUBLIC TRANSPORTATION ASSOCIATION
December 5, 2017
APTA Mid-Year Safety Seminar
Houston, TX

2. Link Between Fatigue & Safety Risk
Clear link between fatigue and transit accidents:
August 2000 Maryland Transit Administration light rail collision at BWI Airport (17 injuries)
December 2013 Metro-North derailment (4 fatalities, 61 injuries)
March 2014 CTA O’Hare Airport crash (34 injuries)
September 2016 NJT Hoboken Terminal crash (1 fatal, 100+ injuries)
January 2017 Long Island Rail Road Atlantic Terminal crash (100+ injuries)
NTSB found each of these major accidents was caused by operator fatigue

3. Federal Fatigue-Related Requirements: Hours of Service & Medical Certification
Airline Crews
Commercial Motor Vehicles Drivers
Ocean Vessel Crew Members
Freight and Passenger Railroad Employees
In these industries, Fitness for Duty is determined by a required and regularly-updated Medical Certification process.
The FAA requires aviation medical examiners to screen pilots for Obstructive Sleep Apnea – thus far, the only agency that specifically requires this screening. (A joint FMCSA/FRA proposed rule for commercial motor vehicles and railroad crews to undergo OSA screening was recently withdrawn.)
Ocean vessel crew members are regulated by the International Maritime Organization.
Federal HOS and Medical Certification regulations cover these transportation employees

4. FTA Fatigue-Related Requirements
There are no federal HOS requirements for transit agency employees unless the transit system is subject to FRA oversight (e.g., commuter railroads)
There are no federal Medical Certification requirements for transit agency employees unless transit system is subject to FRA oversight
FTA does have federal Drug & Alcohol testing requirements for safety-sensitive employees (49 CFR Part 655)

5. Transit Advisory Committee for Safety (TRACS)
TRACS is the Federal Advisory Committee that provides information, advice and recommendations on transit safety to US DOT
October 2014, FTA Acting Administrator Therese McMillan charged TRACS with developing recommendations on a SMS approach to fatigue management for U.S. public transportation providers
July 2015, TRACS Report was published, “Establishing a Fatigue Management Program for the Bus and Rail Transit Industry”

6. TRACS Report
TRACS Report (7/30/15) “Establishing a Fatigue Management Program for the Bus and Rail Transit Industry” recommends that FTA require transit agencies to develop fatigue risk management systems and Hours of Service policies.
TRACS Report is based on Safety Management Systems framework and covers 7 different fatigue management initiatives.
Shift schedule analysis & Hours of Service (HOS) policy
Employee fatigue awareness & prevention training
Fitness for duty medical evaluations & sleep apnea screening
Work & vehicle environment design
Fatigue monitoring & mitigation in an informed safety culture
Incident investigation
Data collection & performance measures

7. TRACS Recommendations to FTA
1. HOURS OF SERVICE
FTA should develop and implement federal regulation mandating minimum HOS requirements that cover:
Bus and Rail Operators
Bus and Rail Dispatchers, Conductors & Controllers
2. TRAINING
FTA should determine appropriate training for work schedulers
FTA should require all transit agencies to develop or adopt appropriate fatigue awareness and management training programs

8. TRACS Recommendations to FTA
3. FITNESS FOR DUTY
FTA should require rail and bus transit agencies to have all safety-sensitive employees be screened at least once every two years for sleep disorders

9. TRACS Recommendations to FTA
4. WORK AND VEHICLE ENVIRONMENT DESIGN
FTA should research best-practice design standards for bus and rail operator compartment areas and fund demo projects of new technologies
FTA should work with bus and rail car manufacturers to discuss incorporating OTS personal vehicle technologies for transit vehicles, such as driver drowsiness or lane departure alerts
FTA should work with APTA to update the Standard Bus Procurement Guidelines and Light Rail Vehicle RFP Procurement Guidelines to incorporate effective fatigue reduction or fatigue alert features

10. TRACS Recommendations to FTA
5. FATIGUE MONITORING AND MITIGATION
FTA should set fatigue-related safety goals in the National Public Transportation Safety Plan, to be reflected in Agency Safety Plans
FTA should collect data from a large spectrum of transit properties to determine precursors of fatigue-related incidents
FTA should define metrics and best practices for a successful safety culture in regards to fatigue
FTA should develop case studies highlighting best practices for fatigue monitoring and mitigation for both large and small rail and bus systems
FTA should create a Fatigue Risk Management System Guidebook that teaches transit systems of all sizes to develop a successful safety culture in regards to fatigue

11. TRACS Recommendations to FTA
6. INCIDENT INVESTIGATION
FTA should establish minimum requirements for investigating the possible role of fatigue in incident investigations
FTA should develop best-practice protocol templates for close call, incident, and accident investigations that include fatigue assessment
FTA should incorporate this protocol into its required accident investigation certification courses
FTA and the transit industry should identify which data collected in incident investigations should be included in a national database for trend analysis
7. DATA COLLECTION
FTA should require transit agencies to collect and track data on fatigue performance measures to evaluate the success of the Fatigue Management systems

12. That’s a Lot of Recommendations!
FTA’s Response
July 2015: TRACS Report is released; FTA accepts report in October 2015
August 2016: FTA publishes Final Rule 49 CFR Part 670 “Public Transportation Safety Program” establishing FTA’s safety regulatory authorities, including setting minimum safety performance standards for transit operations
January 2017: FTA publishes Report 0103, focus areas for FTA Strategic Plan for Safety Standards Development, including:
Fatigue Management and HOS Regulations
Medical Fitness for Duty Requirements

13. Process to Establish a FMP
APTA Standards Related to Fatigue Management Program (APTA RT-OP-S )
Recommends that all Rail Transit Agencies develop a formal Fatigue Management Program (FMP) that covers operators, controllers, and other safety-critical employees.
Consistent with TRACS Recommendations to FTA, but APTA Standard applies to RTAs only, rather than rail and bus transit agencies.
Process to Establish a FMP
Core FMP Elements
FMP Steering Committee
Fatigue considerations in incident investigations
Study current fatigue risk – biomathematical fatigue modeling, surveys, audit of current policies and procedures
Work schedules that mitigate fatigue
Develop FMP policy
Fatigue management education & training
Develop FMP roles and responsibilities
Evaluate fatigue-related absences
Develop implementation timeframe
Consider and evaluate dedicated rest areas
FMP Communication Plan
Sleep disorder screening for covered employees
Monitor and evaluate FMP
Ongoing data collection and assessment, consider using computer-based system that tracks and analyzes fatigue related metrics

14. APTA Standards Related to Hours of Service
(APTA RT-OP-S )
Metrics for HOS Requirements
TRACS HOS Policy Recommendations
APTA Standard: Train Operator HOS Requirements
Covered employees
Bus and rail vehicle operators, dispatchers, conductors, and controllers
Rail vehicle operators, including operators of revenue vehicles and nonrevenue vehicles operating in mixed service with revenue trains
Maximum daily hours of service ("duty tour")
14 hours
16 hours
Maximum daily on duty time
12 hours
Minimum daily scheduled off-duty period
10 hours
Consecutive working service days
No more than 6 consecutive days
Not addressed
Minimum days off after consecutive days worked
Directs rail transit system to set a policy for mandatory full days off to break extended continuous work cycles for train operators
Maximum number of hours worked in a week
Not addressed (though discussed at length)

15. Peer Agency HOS Survey
Informal survey on hours of service policies was transmitted to members of the APTA Rail Safety Committee on June 29, 2017
Eight (8) Rail Transit Agencies responded to the following survey questions:
Does your transit agency have an Hours of Service (HOS) Policy?
What are the requirements of your agency’s HOS policy?
Who are the Covered Employees?
How long has your HOS policy been in place, and is the policy included in your union’s collective bargaining agreement?
To capture bus transit agency policies, researched State laws requiring HOS limitations for transit bus operators.
(Resource: “FTA State of Bus Safety in the United States: Summary of Federal and State Regulations”, Feb. 2014)

16. Peer Agency Descriptions

17. Peer Agency HOS Survey – Covered Employees
TRACS Report recommends that Rail and Bus vehicle operators, dispatchers, conductors and controllers be covered.
All 8 agencies that responded to the peer agency survey include rail operators, and 5 agencies include bus operators.
1/2 of responding agencies include dispatchers as covered employees.

18. Peer Agency HOS Survey – Duty Tour
The Duty Tour may include interim off-duty time periods, as in a split shift.
43% set a 14-hour Duty Tour limit, consistent with the TRACS Recommendations. .

19. Peer Agency HOS Survey – Daily On-Duty Time
Includes time spent in service, work breaks of less than 1 hour, transportation to/from work locations, and time “standing by”. Does not include interim release periods greater than 1 hour or time to/from home to work.
Half of the responses (50%) set a 12 hour daily on-duty time limit, consistent with the TRACS Recommendations.

20. Peer Agency HOS Survey – Minimum Daily Off-Duty Period
Includes mandatory off-duty periods, days off, vacation days.
For Off-Duty time to be counted in a split shift, employees must be provided a reasonable environment in which to get rest.
Almost half of the responses (43%) set a 10 hour minimum daily off-duty period, consistent with TRACS Recommendations.

21. Peer Agency HOS Survey – Consecutive Working Service Days
A Service Day is the 24-hour period starting when a shift begins, regardless of whether the shift goes beyond a calendar day.
TRACS Recommendation – no more than 6 consecutive days.
Most transit agencies have not addressed this HOS metric.

22. Peer Agency HOS Survey – Minimum Days Off After Consecutive Days Worked
The TRACS Report does not address this HOS metric. APTA’s Standard for Train Operator HOS directs agencies to set a policy for mandatory full days off to break extended continuous work cycles. Of the 8 responding agencies, 5 did not address this HOS metric.

23. Peer Agency HOS Survey – Maximum Number of On-Duty Hours in a Week
TRACS Report addresses this metric but falls short of making a specific recommendation because the committee did not reach consensus. The 60-hour weekly limit was based on FMCSA regulations.
Most transit agencies have not addressed this HOS metric.

24. Passenger Train Employees HOS Rule
Commuter railroads are required to follow FRA passenger train HOS regulation (49 CFR Part 228, Subpart F)
Metric
Requirement
Maximum daily on duty time (in any 24-hour period)
12 hours – Train Crew hours – Signal Maintainers
9 hours – Dispatch (if employer has 2 shifts,
12 hours if only 1 shift)
Minimum daily off duty period
8 hours following total time on duty of <12 hours
10 hours following total time on duty of ≥12 hours
Consecutive working service days
For night work assignments (reporting to duty/working 8pm-4am), no more than 6 consecutive days on duty
Minimum days off after consecutive days worked
If any covered employee works a 14-day period with no night work and fewer than 2 days off duty, employee is required to have at least 2 consecutive days off duty

25. FMCSA HOS Requirements
Transit agencies are exempt from FMCSA HOS regulations under the exception from applicability for government agencies (49 CFR Part 390 sec (f)(2)) However, some States have passed laws that create their own HOS requirements or that follow FMCSA HOS requirements for passenger vehicles (49 CFR Part 395.5)
Metric
Requirement
Maximum Daily Hours of Service (“Duty Tour”)
15 hours
Maximum Daily On-Duty Time
10 hours
Minimum Daily Off-Duty Period
8 hours
Maximum Number of On-Duty Hours in a Week
60 hours in 7 consecutive days (if agency does not operate every day of the week)
70 hours in 8 consecutive days (if agency operates every day of the week)

26. State Laws Requiring HOS Limits
10 hours on-duty, 8 hours minimum rest, 60 hours/week limit:
Illinois
Massachusetts
New Mexico
New York
North Dakota
California – 12 hours on-duty, 8 hours minimum rest, no weekly limit
Florida – 12 hours on-duty, 8 hours minimum rest, 72 hours/week limit
Pennsylvania – 16 hours on-duty, 8 hours minimum rest, 30 hrs in 2 days

27. Agency Considerations in Developing a HOS Policy
Need clear understanding of current agency policies, provisions of collective bargaining agreement, and State law
Agencies must be able to document scientific validation for HOS policies
Analysis of “as-worked” schedules for operators (and other safety sensitive employees) can indicate how much and what periods of time employees are operating below effectiveness
Rail Transit Agencies should consult SSOA on HOS policy changes
Timing considerations – HOS changes are easier to implement if new policies included in new/revised CBA
Agencies should carefully consider who will be covered

28. Definition of “Fitness for Duty”
Fitness for Duty is a broad concept that can incorporate:
Medical certification
Drug and Alcohol policy compliance
Fatigue management
FAA defines Fit for Duty as:
“Being physiologically and mentally prepared and capable of performing assigned duties at the highest degree of safety.”

29. A Strong Focus on Sleep Apnea
Sleep Apnea affects 12% of U.S. population – more than 20 million
Obstructive Sleep Apnea blocks airways for seconds or minutes at a time, disrupting sleep
American Academy of Sleep Medicine estimates that 90% of OSA patients are undiagnosed
NTSB has included “reduce fatigue-related crashes” on its 10 Most Wanted list for the past 3 years
AASM has found accidents are 7 times more likely with untreated Sleep Apnea patients
Untreated Sleep Apnea can cause or worsen high blood pressure and pose a risk for heart attack, stroke, hypertension

30. Comparing OSA Federal Requirements and Best Practices
Agency or Organization Source
OSA Screening Required or Recommended?
Additional Notes or Information
FAA Medical Certification 
Aviation Medical Examiners screen for OSA and may consider airmen certification only if effective treatment is documented.
FRA & FMCSA Medical Certification 
No OSA screening.
Joint FRA/FMCSA proposed rule
OSA screening procedures for trucking and rail industries were included in joint ANPRM published 3/10/16.
US DOT withdrew proposed rule 8/4/17.
FTA Regulations
No medical certification requirements, no OSA screening requirements.
TRACS Report 14-02
Recommends OSA screening for all safety sensitive rail and bus transit employees.
APTA Standard RT-OP-S
Recommends OSA screening for all safety sensitive rail transit employees.

31. APTA Standards Related to Fitness for Duty (APTA RT-OP-S-018-12)
Recommends that all rail transit agencies create a formal Fitness for Duty Program for rail operators that includes:
Identification of applicable positions
Physical and medical qualifications
Pre-selection and on-the-job Fitness for Duty requirements
Routine medical examinations
Regular Fitness for Duty checks
Employee responsibility for reporting unsafe conditions
Employee self-reporting requirements
Policy for triggering events that require additional fitness assessments
Training and awareness programs
APTA’s Operating Practices Working Group is currently updating the Fitness for Duty Standard, likely to be finalized in 2018

32. Agency Considerations in Developing a Fitness for Duty Policy
Medical Certification
* Many multi-modal transit agencies and bus-only agencies require bus operators to have Commercial Drivers Licenses (CDLs), which requires medical certification
* Should rail operators also be required to undergo regular medical certification?
OSA Screening
* Most transit agencies do not have fitness for duty policies that include medical screening and treatment for OSA
* A federal requirement for OSA screening is unlikely in near term – will agencies move to implement screening without regulations?
FFD Checks
* APTA Standard for FFD recommends checking covered employees for fitness during their shifts on a regular basis
* No national standard describing specific observations for transit agency supervisors to follow or to train on (unlike Drug & Alcohol reasonable suspicion)

33. Developing a Fatigue Management Program is Complex & Challenging
FTA is taking Fatigue Management seriously, but current regulatory environment may discourage new federal requirements
Fatigue Management is more than just a policy – it is a program that includes many interrelated elements
Both TRACS Report and APTA Standard RT-OP-S provide a strong framework for developing a Fatigue Management Program
To effectively establish/refine HOS or Fitness for Duty policies, transit agencies must be inclusive (Ops, Safety, Admin, Training, Labor, SSOA)

34. Thank You! Joyce C. Rose Principal Consultant, Transit & Rail Safety
WSP USA
Baltimore, MD