Enhancing Sleep Efficiency on Vessels in the Tug/Towboat/Barge Industry (2016)

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N A T I O N A L C O O P E R A T I V E F R E I G H T R E S E A R C H P R O G R A M NCFRP REPORT 36 Subscriber Categories Marine Transportation • Safety and Human Factors Enhancing Sleep Efficiency on Vessels in the Tug/Towboat/ Barge Industry Kathryn J. Reid Fred W. Turek Phyllis C. Zee NorthwesterN UNiversity Evanston, Illinois TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2016 www.TRB.org Research sponsored by the Office of the Assistant Secretary for Research and Technology

NATIONAL COOPERATIVE FREIGHT RESEARCH PROGRAM America’s freight transportation system makes critical contributions to the nation’s economy, security, and quality of life. The freight trans- portation system in the United States is a complex, decentralized, and dynamic network of private and public entities, involving all modes of transportation—trucking, rail, waterways, air, and pipelines. In recent years, the demand for freight transportation service has been increas- ingly fueled by growth in international trade; however, bottlenecks or congestion points in the system are exposing the inadequacies of cur- rent infrastructure and operations to meet the growing demand for freight. Strategic operational and investment decisions by government at all levels will be necessary to maintain freight system performance and will, in turn, require sound technical guidance based on research. The National Cooperative Freight Research Program (NCFRP) is a cooperative research program sponsored by the Office of the Assistant Secretary for Research and Technology under Grant No. DTOS59- 06-G-00039 and administered by the Transportation Research Board (TRB). The program was authorized in 2005 with the passage of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). On September 6, 2006, a contract to begin work was executed between the Research and Innovative Technology Administration, which is now the Office of the Assistant Secretary for Research and Technology, and the National Academies of Sciences, Engineering, and Medicine. NCFRP carries out applied research on problems facing the freight industry that are not being adequately addressed by existing research programs. Program guidance is provided by an oversight committee composed of a representative cross section of freight stakeholders appointed by the Academies. The NCFRP Oversight Committee meets annually to formulate the research program by identifying the highest priority projects and defining funding levels and expected products. Research problem statements recommending research needs for consideration by the NCFRP Oversight Committee are solicited annually but may be submitted to TRB at any time. Each selected project is assigned to a panel, appointed by TRB, which provides technical guidance and counsel throughout the life of the project. Heavy emphasis is placed on including members representing the intended users of the research products. NCFRP produces a series of research reports and other products such as guidebooks for practitioners. Primary emphasis is placed on disseminating NCFRP results to the intended users of the research: freight shippers and carriers, service providers, suppliers, and public officials. Published reports of the NATIONAL COOPERATIVE FREIGHT RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America NCFRP REPORT 36 Project NCFRP-45 ISSN 1947-5659 ISBN 978-0-309-37498-9 Library of Congress Control Number 2015959088 © 2016 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Freight Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report.

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Ralph J. Cicerone is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under NCFRP Project 45 by the Center for Sleep and Circadian Biology at Northwestern University (NU). NU was the contractor for this study and also served as the fiscal administrator. Dr. Kathryn J. Reid, Research Associate Professor of Neurology at NU, was the Project Director and Principal Investigator. Dr. Fred W. Turek, Professor of Neurology and Neurobiology at NU, was the Co-Principal Investigator. Other individuals involved in carrying out the NCFRP Project 45 were Dr. Phyllis C. Zee, Professor of Neurology at NU and Co-Investigator; Dr. Greg Belenky, Research Professor at Wash- ington State University and Consultant; Dr. Joseph Kang, Assistant Professor of Preventive Medicine- Biostatistics at NU and Research Assistant; Dr. Peng Jiang, Postdoctoral Fellow in the Center for Sleep and Circadian Biology at NU and Research Assistant; Mr. Eric Rowan, Consultant for NU and the project; and Ms. Katie Lind, Associate Research Administrator in the Center for Sleep and Circadian Biology at NU. CRP STAFF FOR NCFRP REPORT 36 Christopher W. Jenks, Director, Cooperative Research Programs William C. Rogers, Senior Program Officer Charlotte Thomas, Senior Program Assistant Eileen P. Delaney, Director of Publications Scott E. Hitchcock, Editor NCFRP PROJECT 45 PANEL Freight Research Projects David M. Brown, Skanska, Franklin, TN (Chair) Gerald P. Krueger, Krueger Ergonomics Consultants, Alexandria, VA Richard F. Lambert, Minnesota DOT, St. Paul, MN Alexander C. Landsburg, SNAME, Alexandria, VA Ann Martine Mills, Rail Safety and Standards Board, London, UK Jonathan M. Ross, High Ground Initiatives, Arnold, MD Christopher Smith, AASHTO Liaison W. Scott Brotemarkle, TRB Liaison

NCFRP Report 36: Enhancing Sleep Efficiency on Vessels in the Tug/Towboat/Barge Industry provides best practices, including the use of anchor-sleep/nap-sleep strategies, to improve sleep and reduce fatigue in the United States inland waterway industry. Human error related to operator fatigue is a major concern in all freight operations. The general consensus is that 7 to 8 hours of sleep per 24-hour day is required to main- tain acceptable levels of alertness, minimize fatigue, and permit optimum performance. A long-standing and preferred practice of crews in the U.S. tug/towboat/barge inland water- way industry is to work/rest in alternating 6-hour shifts, commonly referred to as a square watch system. Each crew member has a total of 12 hours on duty with 12 hours off duty per 24 hours, and it has been customary for crew members to obtain sleep during both of their 6-hour off-duty periods. While there are no hours-of-service regulations beyond the 15-hours-on-duty limit, increasing uninterrupted sleep duration to a threshold of at least 7 consecutive hours in one of the two available off periods is being considered. Strict adherence to such a pattern would conflict with the most common work schedule in the tug/towboat/barge industry. Recent laboratory data suggest, however, that sleep can be obtained in more than one sleep period, referred to as anchor-sleep/nap-sleep, and that as long as the total duration is 7 to 8 hours, performance is comparable between a single sleep period and two separate sleep periods. Under NCFRP Project 45, Northwestern University was asked to (1) identify and describe the metrics that could be used to evaluate current operational interventions (e.g., educa- tional materials and programs; noise abatement; sleep disorders screening, especially sleep apnea; wellness and nutritional programs) for their effectiveness in improving sleep effi- ciency on tugs/towboats/barges; (2) evaluate the use of anchor-sleep/nap-sleep strategies on sleep behavior among personnel in the inland waterway industry; (3) identify barriers that inhibit waterway personnel from adopting good sleep management practices and propose ways to overcome the barriers; (4) develop a list of best practices that could be implemented by the waterway industry, companies, crews, or individuals to enhance sleep efficiency; and (5) develop a compendium of best practices for enhancing sleep efficiency in the U.S. inland waterway industry. F O R E W O R D By William C. Rogers Staff Officer Transportation Research Board

1 Summary 5 Chapter 1 Background 5 1.1 Problem Statement and Research Objective 5 1.2 Previous Research 5 1.2.1 Sleep and Circadian Rhythms 6 1.2.2 Homeostatic Process Regulating the Drive to Sleep 6 1.2.3 Circadian Process 6 1.2.4 Cannot Override the Need to Sleep 6 1.2.5 Timing of Sleep 7 1.2.6 Duration of Sleep 7 1.2.7 Importance of Regularity of Timing of Sleep 7 1.2.8 Cumulative Effects of Sleep Restriction 7 1.2.9 Adverse Effects of Fatigue and Disrupted Circadian Rhythms on Safety, Performance, Cognitive Abilities, and Ability to Operate Motorized Vehicles 8 1.2.10 Fatigue, Sleep, and Disrupted Circadian Rhythms in Marine Operations 9 1.2.11 Napping Strategies to Reduce Fatigue 9 1.3 Findings from Prior Research That This NCFRP Research Builds On 11 1.4 Scope of NCFRP Research 13 Chapter 2 Research Approach 13 2.1 Task 1. Kickoff Meetings 13 2.1.1 NCFRP Panel Meeting 13 2.1.2 Stakeholder Meeting 13 2.2 Task 2. Evaluate Current Operational Practices 15 2.2.1 Management Survey to Evaluate Current Operational Practices 15 2.2.2 Crew Member Survey to Evaluate Operational Practices 16 2.3 Task 3. Evaluate the Use of Anchor-Sleep/Nap-Sleep Strategies 16 2.3.1 Determine the Proportion of Crew Who Use Anchor-Sleep/Nap-Sleep Strategies 16 2.3.2 Use Mathematical Models to Predict Performance Based on Actual Sleep-Wake and Work Schedule 18 2.4 Task 4. Identify Barriers to Adopting Good Sleep Management Practice and Develop Practices to Overcome These Barriers 20 2.4.1 Identify Factors That Predict the 20% Best and 20% Worst Sleepers 20 2.4.2 Identify Crew Members Who Changed Sleep Behaviors Since Phase IV Trial 20 2.4.3 Evaluate Current Best Practices 21 2.4.4 Use the Identified Factors to Model Changes in Sleep-Wake and Then Use Mathematical Modeling to Predict Performance C O N T E N T S

21 2.5 Task 5. Prepare a List of Best Practices That Could Be Implemented by the Waterways Industry, Companies, Crews, or Individuals to Enhance Sleep Efficiency 21 2.6 Task 6. Prepare a Compendium of Best Practices for Enhancing Sleep Efficiency on Towboats in the U.S. Inland Waterway Industry and a Report Documenting the Results of the Research 22 Chapter 3 Findings and Application 22 3.1 Task 1. Outcome of the Kickoff Meetings 22 3.1.1 NCFRP Project 45 Panel Meeting 22 3.1.2 Stakeholder Meeting 22 3.2 Task 2. Results of the Evaluation of Current Operational Practices 22 3.2.1 Best Practices/Interventions in the Tug/Towboat/Barge Industry 32 3.2.2 Summary of the Assessment of Best Practices from Other Industries 32 3.3 Task 3. Anchor-Sleep/Nap-Sleep Strategies Amongst Personnel in the Tug/Towboat/Barge Industry 34 3.3.1 Phases II-III Data on the Use of an Anchor-Sleep/Nap-Sleep Strategy 36 3.3.2 Phase IV Data on the Use of an Anchor-Sleep/Nap-Sleep Strategy 39 3.3.3 Phase V Data on the Use of an Anchor-Sleep/Nap-Sleep Strategy 39 3.3.4 Mathematical Modeling to Predict Performance Based on Actual Sleep-Wake and Work Schedule 54 3.4 Task 4. Barriers to Good Sleep 54 3.4.1 Identify Factors Predicting Best and Worst Sleepers 61 3.4.2 Identify Those Who Changed Sleep Behaviors Since Phase IV 62 3.4.3 Practices Crew Would Like to See Initiated or Learn About 63 3.5 Task 5. Best Practices to Enhance Sleep Efficiency in the Tug/Towboat/Barge Industry 66 3.5.1 FRMS 68 3.5.2 Education 70 3.5.3 Stress/Anxiety Management 72 3.5.4 Commuting 74 3.5.5 Fatigue Reporting/Fitness for Duty 76 3.5.6 Wellness Program 77 3.5.7 Registered and Certified Medical Examiners 78 3.5.8 Sleep Disorders Screening 82 3.5.9 Monitoring and Review of Practices 83 3.5.10 Nutrition 84 3.5.11 Exercise/Physical Activity 85 3.5.12 Fatigue Modeling 86 3.5.13 Sleep Environment 87 3.5.14 Anchor-Sleep/Nap-Sleep Strategies 90 3.5.15 Duty Hours Regulation 90 3.5.16 Reporting Missed Sleep Opportunities 91 3.6 Task 6. Compendium of Best Practices for Enhancing Sleep Efficiency on Towboats in the U.S. Inland Waterway Industry and a Report Documenting the Results of the Research

92 Chapter 4 Conclusions and Suggested Research 92 4.1 Conclusions 93 4.2 Proposed Research 93 4.2.1 Practices Requiring Further Investigation 93 4.2.2 HOS Rules to Allow for an Uninterrupted 7 to 8 Hours of Sleep 94 4.2.3 Shift Start Times 94 4.2.4 Impact of Education Programs on Improving Sleep and Safety 94 4.2.5 FRMS 94 4.2.6 Medical Examiners 94 4.2.7 Sleep Disorders 95 4.2.8 Other Considerations 95 4.2.9 New Technologies 95 4.2.10 Why Are Some Practices Not Included? 96 4.3 Concluding Remarks 97 References 100 Abbreviations, Acronyms, Initialisms, and Symbols A-1 Appendix A Bibliography B-1 Appendix B Surveys and Sleep Diary B-1 Management Survey Materials B-13 Crew Survey Materials and Sleep Diary C-1 Appendix C Management Survey Responses Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.