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TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2007 www.TRB.org C O M M E R C I A L T R U C K A N D B U S S A F E T Y S Y N T H E S I S P R O G R A M CTBSSP SYNTHESIS 11 Research sponsored by the Federal Motor Carrier Safety Administration Subject Areas Operations and Safety ⢠Freight Transportation Impact of Behavior-Based Safety Techniques on Commercial Motor Vehicle Drivers Jeffrey S. Hickman Ronald R. Knipling Richard J. Hanowski Douglas M. Wiegand VIRGINIA TECH TRANSPORTATION INSTITUTE Blacksburg, VA Robert E. Inderbitzen NATIONAL PRIVATE TRUCK COUNCIL Alexandria, VA Gene Bergoffen MAINEWAY SERVICES Fryeburg, ME
COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS PROGRAM Safety is a principal focus of government agencies and private-sector organiza- tions concerned with transportation. The Federal Motor Carrier Safety Administra- tion (FMCSA) was established within the Department of Transportation on January 1, 2000, pursuant to the Motor Carrier Safety Improvement Act of 1999. Formerly a part of the Federal Highway Administration, the FMCSAâs primary mission is to prevent commercial motor vehicle-related fatalities and injuries. Administration activities contribute to ensuring safety in motor carrier operations through strong enforcement of safety regulations, targeting high-risk carriers and commercial motor vehicle drivers; improving safety information systems and commercial motor vehicle technologies; strengthening commercial motor vehicle equipment and operating stan- dards; and increasing safety awareness. To accomplish these activities, the Adminis- tration works with federal, state, and local enforcement agencies, the motor carrier industry, labor, safety interest groups, and others. In addition to safety, security- related issues are also receiving significant attention in light of the terrorist events of September 11, 2001. Administrators, commercial truck and bus carriers, government regulators, and researchers often face problems for which information already exists, either in docu- mented form or as undocumented experience and practice. This information may be fragmented, scattered, and underevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alle- viating the problem. There is information available on nearly every subject of concern to commercial truck and bus safety. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a systematic means for assem- bling and evaluating such useful information and to make it available to the com- mercial truck and bus industry, the Commercial Truck and Bus Safety Synthesis Pro- gram (CTBSSP) was established by the FMCSA to undertake a series of studies to search out and synthesize useful knowledge from all available sources and to prepare documented reports on current practices in the subject areas of concern. Reports from this endeavor constitute the CTBSSP Synthesis series, which collects and assembles the various forms of information into single concise documents pertaining to specific commercial truck and bus safety problems or sets of closely related problems The CTBSSP, administered by the Transportation Research Board, began in early 2002 in support of the FMCSAâs safety research programs. The program initiates three to four synthesis studies annually that address concerns in the area of commercial truck and bus safety. A synthesis report is a document that summarizes existing prac- tice in a specific technical area based typically on a literature search and a survey of rel- evant organizations (e.g., state DOTs, enforcement agencies, commercial truck and bus companies, or other organizations appropriate for the specific topic). The pri- mary users of the syntheses are practitioners who work on issues or problems using diverse approaches in their individual settings. The program is modeled after the successful synthesis programs currently operated as part of the National Cooperative Highway Research Program (NCHRP) and the Transit Cooperative Research Pro- gram (TCRP). This synthesis series reports on various practices, making recommendations where appropriate. Each document is a compendium of the best knowledge available on measures found to be successful in resolving specific problems. To develop these syn- theses in a comprehensive manner and to ensure inclusion of significant knowledge, available information assembled from numerous sources, including a large number of relevant organizations, is analyzed. For each topic, the project objectives are (1) to locate and assemble documented information (2) to learn what practice has been used for solving or alleviating prob- lems; (3) to identify all ongoing research; (4) to learn what problems remain largely unsolved; and (5) to organize, evaluate, and document the useful information that is acquired. Each synthesis is an immediately useful document that records practices that were acceptable within the limitations of the knowledge available at the time of its preparation. The CTBSSP is governed by a Program Oversight Panel consisting of individuals knowledgeable in the area of commercial truck and bus safety from a number of perspectivesâcommercial truck and bus carriers, key industry trade associations, state regulatory agencies, safety organizations, academia, and related federal agencies. Major responsibilities of the panel are to (1) provide general oversight of the CTBSSP and its procedures, (2) annually select synthesis topics, (3) refine synthesis scopes, (4) select researchers to prepare each synthesis, (5) review products, and (6) make publi- cation recommendations. Each year, potential synthesis topics are solicited through a broad industry-wide process. Based on the topics received, the Program Oversight Panel selects new synthesis topics based on the level of funding provided by the FMCSA. In late 2002, the Program Oversight Panel selected two task-order contractor teams through a competitive process to conduct syntheses for Fiscal Years 2003 through 2005. CTBSSP SYNTHESIS 11 Project MC-15 ISSN 1544-6808 ISBN 978-0-309-09876-2 Library of Congress Control Number 2007922769 © 2007 Transportation Research Board COPYRIGHT PERMISSION 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, FTA, or Transit Development Corporation 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 project that is the subject of this report was a part of the Commercial Truck and Bus Safety Synthesis Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. Such approval reflects the Governing Boardâs judgment that the program concerned is appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical committee selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project. The opinions and conclusions expressed or implied are those of the research agency that performed the research, and, while they have been accepted as appropriate by the technical panel, they are not necessarily those of the Transportation Research Board, the National Research Council, or the Federal Motor Carrier Safety Administration of the U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical panel according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. The Transportation Research Board, the National Research Council, and the Federal Motor Carrier Safety Administration (sponsor of the Commercial Truck and Bus Safety Synthesis Program) do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the clarity and completeness of the project reporting. Published reports of the COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America
CRP STAFF FOR CTBSSP SYNTHESIS 11 Robert J. Reilly, Director, Cooperative Research Programs Christopher W. Jenks, CTBSSP Manager Eileen P. Delaney, Director of Publications Natalie Barnes, Editor CTBSSP OVERSIGHT PANEL Stephen Campbell, Commercial Vehicle Safety Alliance, Washington, DC (Chair) Thomas M. Corsi, University of Maryland, College Park, MD Nicholas J. Garber, University of Virginia, Charlottesville, VA Alex Guariento, Greyhound Lines, Inc., Dallas, TX Scott Madar, International Brotherhood of Teamsters, Washington, DC James W. McFarlin, ABF Freight System, Inc., Fort Smith, AR David Osiecki, American Trucking Associations, Alexandria, VA John Siebert, Owner-Operator Independent Drivers Association, Grain Valley, MO Larry F. Sutherland, HNTB Corporation, Columbus, OH R. Greer Woodruff, J. B. Hunt Transport, Inc., Lowell, AR Albert Alvarez, FMCSA Liaison Martin Walker, FMCSA Liaison William Mahorney, FHWA Liaison David Smith, FHWA Liaison Christopher Zeilinger, CTAA Liaison Greg Hull, APTA Liaison Leo Penne, AASHTO Liaison Charles Niessner, TRB Liaison Richard Pain, TRB Liaison AUTHOR ACKNOWLEDGMENTS Many individuals and organizations contributed to this synthesis project. The authors are indebted to the gracious support of survey respondents. As the surveys were anonymous, survey respondents cannot be acknowledged individually. The following organizations provided support in distributing surveys, conduct- ing the focus groups, and providing examples of BBS checklists and/or training and education materials: ⢠American Bus Association ⢠American Trucking Associations ⢠Contract Freighters, Inc. ⢠Federal Motor Carrier Safety Administration ⢠National Private Truck Council ⢠Marathon Ashland ⢠J. J. Taylor, LP. ⢠Praxair Distribution, Inc. ⢠TRB Committee on Truck and Bus Safety Research (ANB70) ⢠Virginia Trucking Association 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
This synthesis will be useful to federal and state agencies, commercial truck and bus operators, and others interested in improving commercial vehicle safety. The synthesis identifies and describes various strategies to increase safety-related driving behaviors, and decrease at-risk driving behaviors, of commercial motor vehicle drivers. It includes an extensive literature review and case study information on innovative and successful behavior- based safety practices in commercial vehicle settings. The synthesis also includes the results of a survey of motor carrier safety managers that provides information on current behav- ioral safety management practices in commercial motor vehicle operations and their effec- tiveness. Administrators, commercial truck and bus carriers, government regulators, and researchers often face problems for which information already exists, either in documented form or as undocumented experience and practice. This information may be fragmented, scattered, and underevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviating the problem. There is information available on nearly every subject of concern to commercial truck and bus safety. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day jobs. To provide a systematic means for assembling and eval- uating such useful information and to make it available to the commercial truck and bus industry, the Commercial Truck and Bus Safety Synthesis Program (CTBSSP) was estab- lished by the Federal Motor Carrier Safety Administration (FMCSA) to undertake a series of studies to search out and synthesize useful knowledge from all available sources and to prepare documented reports on current practices in the subject areas of concern. Reports from this endeavor constitute the CTBSSP Synthesis series, which collects and assembles information into single concise documents pertaining to specific commercial truck and bus safety problems. The CTBSSP, administered by the Transportation Research Board, was authorized in late 2001 and began in 2002 in support of the FMCSAâs safety research programs. The program initiates several synthesis studies annually that address issues in the area of commercial truck and bus safety. A synthesis report is a document that summarizes existing practice in a specific technical area based typically on a literature search and a survey of relevant organizations (e.g., state DOTs, enforcement agencies, commercial truck and bus companies, or other organiza- tions appropriate for the specific topic). The primary users of the syntheses are practitioners who work on issues or problems using diverse approaches in their individual settings. F O R E W O R D By Christopher W. Jenks CTBSSP Manager Transportation Research Board
This synthesis series reports on various practices; each document is a compendium of the best knowledge available on measures found to be successful in resolving specific problems. To develop these syntheses in a comprehensive manner and to ensure inclusion of signifi- cant knowledge, available information assembled from numerous sources is analyzed. For each topic, the project objectives are (1) to locate and assemble documented infor- mation; (2) to learn what practices have been used for solving or alleviating problems; (3) to identify relevant, ongoing research; (4) to learn what problems remain largely unsolved; and (5) to organize, evaluate, and document the useful information that is acquired. Each synthesis is an immediately useful document that records practices that were acceptable within the limitations of the knowledge available at the time of its preparation.
C O N T E N T S 1 Summary 4 Introduction 4 Background 4 At-Risk Behaviors 5 Behavior-Based Safety 6 Scope 6 Approach 7 Behavior-Based Safety Principles 7 Behavioral Checklist 8 Multiple Intervention Level Hierarchy 8 Effectiveness of BBS 10 Observation Techniques 10 On-Board Safety Monitoring Devices 10 Overcoming Driver Resistance 11 OBSM Devices Used by Survey Respondents 12 Ride-Alongs 12 Covert Observations 12 Comments from Public 13 Third-Party Monitoring 13 Effectiveness 14 Conclusion 15 Specific BBS Techniques 15 Activators/Prompts 15 Using Prompts 15 Effectiveness 16 Training and Education Programs 16 Background 17 Retraining and Education Programs for Experienced Drivers 17 Training and Education for Dispatchers 17 A Cautionary Note: Training and Education Is Necessary But Not Sufficient 17 Peer Observation and Feedback 17 Benefits of Peer Observation and Feedback 18 Static Environments 18 Mandatory Peer Observation and Feedback 18 Feedback 19 Driver Self-Management/Self-Observation 19 Self-Management Strategies 20 Implementing Self-Management Programs 20 Summary
20 Consequences: Rewards and Penalties Based on Behaviors and Outcomes 20 Creation of a Successful Incentive/Reward Program 21 Rewards versus Penalties 22 What Should be Rewarded 23 Effectiveness 23 Conclusion 24 Survey Method and Results 24 Method 24 Survey Design and Content 25 Survey Distribution and Analysis 25 Principal Survey Results 25 Part 1: Safety-Critical Behaviors 26 Part 2: Observation of Safety-Critical Behaviors 27 Part 3: Specific Behavioral Management Techniques 32 Part 4: Barriers/Problems to Implementing Behavioral Management Techniques 32 Part 5: Comments/Respondent Information 34 Key Findings 35 Research and Development Needs 37 References 40 Appendix A Statement of Work for Synthesis Report on the Impact of Behavior-Based Safety Techniques on Commercial Motor Vehicle Drivers 41 Appendix B Fleet Safety Manager Survey 47 Appendix C Behavior Checklists 55 Appendix D Training and Education Presentation Slides 65 Appendix E Focus Group Presentation Slides
