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Human Performance and Fatigue Research for Controllers— Revised M T R 1 0 0 3 1 6 R1 Approved for M I T R E TECHNICAL REPORT Public Release. Case # 10-4093 Human Performance and Fatigue Research for Controllers— Revised Valerie J. Gawron, Ph.D. Megan A. Kaminski Mitchell L. Serber Gaea M. Payton Michael Hadjimichael, Ph.D. William M. Jarrott Steven L. Estes Thomas A. Neal II, MD, MPH June 2011 © 2011 The MITRE Corporation. All rights reserved. The contents of this material reflect the views of the author and/or the Director of the Center for Advanced Aviation System Development (CAASD), and do not necessarily reflect the views of the Federal Aviation Administration (FAA) or the Department of Transportation (DOT). Neither the FAA nor the DOT makes any warranty or guarantee, or promise, expressed or implied, concerning the content or accuracy of the views expressed herein. This is the copyright work of The MITRE Corporation and was produced for the U.S. Government under Contract Number DTFA01-01-C-00001 and is subject to Federal Aviation Administration Acquisition Management System Clause 3.5-13, Rights in Data-General, Alt. III and Alt. IV (Oct. 1996). No other use other than that granted to the U.S. Government, or to those acting on behalf of the U.S. Government, under that Clause is authorized without the express written permission of The MITRE Corporation. For further information, please contact The MITRE Corporation, Contract Office, 7515 Colshire Drive, McLean, VA 22102 (703) 983-6000. 2011 The MITRE Corporation. The Government retains a nonexclusive, royalty-free right to publish or reproduce this document, or to allow others to do so, for “Government Purposes Only.” © 2011 The MITRE Corporation. All rights reserved. M T R 1 0 0 3 1 6 R1 MITRE TECHNICAL REPO RT Human Performance and Fatigue Research for Controllers— Revised Sponsor: The Federal Aviation Administration Valerie J. Gawron, Ph.D. Dept. No.: F067 Project No.: 0210FC10-FR Megan A. Kaminski Outcome No.: 10 PBWP Reference: 10-3.C-1, “Results from Mitchell L. Serber Identifying and Prioritizing ATC Performance Gaea M. Payton and Fatigue Risk Factors” Michael Hadjimichael, Ph.D. For Release to all FAA This document was approved for public release. William M. Jarrott Case #10-4093. Steven L. Estes ©2011 The MITRE Corporation. Thomas A. Neal II, MD, MPH All Rights Reserved. June 2011 © 2011 The MITRE Corporation. All rights reserved. Approved By: MITRE Department Approval: Wallace N. Feerrar Outcome Leader MITRE Project Approval: Hassan Shahidi Associate Director, F060 © 2011 The MITRE Corporation. All rights reserved. Abstract Fatigue has been on the National Transportation Safety Board (NTSB) "Most Wanted List" since the initial list in 1990 and remains a topic of active investigation to this day. The focus of this document was air traffic controller fatigue. This focus is reflected in the review of ongoing and past research results as well as a plan to address gaps in this research. A literature search was conducted using multiple terms directly and indirectly associated with fatigue. These terms were then applied across multiple databases. Additionally, direct outreach was conducted to identify current research that would not yet be reflected in the literature. The results of the literature review and outreach are separated into three areas: 1) research that used air traffic controllers (ATCs) as participants and investigated factors influencing fatigue in controllers, fatigue’s effects on performance in controllers, and/or the effects of fatigue countermeasures for controllers; 2) a synthesis of the knowledge in the area of fatigue and air traffic control (ATC) including the original research discussed in area 1 , as well as information gained from previous literature reviews, books, pamphlets, reports, and other research that did not use controllers as participants; and 3) models to predict controller fatigue. Gaps identified during the literature review and outreach and recommendations to fill the gaps are presented. The gaps were prioritized based on the estimated risk to safety in the National Airspace System (NAS) from highest to lowest. The first priority is to quantify air traffic controller fatigue and the second is to validate measures of air traffic controller performance sensitive to fatigue. The third priority is to explore, develop, and if appropriate, validate tools for individualizing shift schedules. The fourth priority focuses on collecting data to support and implement a sleep disorder policy. The fifth and final priority is to develop and validate a fatigue model for ATCs. Ancillary material is presented in a series of appendices. Specifically, the literature review was expanded to include studies of aircrew fatigue in both civilian and military aircrews and the results are presented. Additionally, relevant fatigue research from comparable environments is discussed. These environments include security surveillance, military command and control, process control, and medical practice. Basic research studies on vigilance, cognitive, and psychomotor measures are reviewed. A review of existing models to measure and analyze fatigue risk as well as an evaluation of modeling techniques from both civilian and military applications is included. A discussion of short-term fatigue countermeasures and Fatigue Risk Management Systems used in comparable environments is included. Subjective and objective measures of fatigue are reviewed as well as workload, situational awareness, boredom, monotony, motivation, and stress. iii © 2011 The MITRE Corporation. All rights reserved. Table of Contents 1 Introduction 1-1 2 Gap Analysis 2-1 2.1 Information Gathering 2-1 2.1.1 Literature Search 2-1 2.1.2 Outreach 2-3 2.2 Results of the Literature Review and Outreach 2-3 2.2.1 Identified Controller Fatigue Research 2-4 2.2.1.1 Research on Factors Influencing Fatigue and on Fatigue and Performance 2-4 2.2.1.2 Studies on Fatigue Countermeasures 2-18 2.2.2 Synopsis of the Body of Knowledge 2-20 2.2.2.1 Factors Influencing Controller Fatigue and their Effects on Performance 2-20 2.2.2.1.1 Work-Related Factors 2-20 2.2.2.1.2 Non-Work-Related Factors 2-24 2.2.2.2 Fatigue Countermeasures in ATC 2-26 2.2.2.3 Fatigue Risk Management Systems in ATC 2-27 2.2.2.3.1 New Zealand 2-27 2.2.3 Models to Predict Controller Fatigue 2-28 3 Identification of Gaps and Recommendations 3-1 3.1 Filling Gaps in Knowledge 3-1 3.2 Priority 1 Quantify Air Traffic Controller Fatigue 3-1 3.3 Priority 2 Validate Measures of Air Traffic Controller Performance Sensitive to Fatigue 3-2 3.4 Priority 3 Validate Individualizing Shift Schedules 3-3 3.5 Priority 4 Collect Data to Support Sleep Disorder Policy 3-4 3.6 Priority 5 Validate Human Performance Models To Predict ATC Fatigue 3-5 4 List of References 4-1 Appendix A Aircrew A-1 A.1 Civilian Aircrews A-1 A.2 Military Aircrews A-3 Appendix B Comparable Environments B-1 B.1 Security Surveillance B-1 iv © 2011 The MITRE Corporation. All rights reserved. B.2 Military Command and Control B-1 B.3 Process Control B-3 B.4 Medicine B-4 B.5 Studies Related to Safety During Drive Home B-10 Appendix C Basic Research C-1 C.1 Vigilance Tasks C-1 C.2 Cognitive Tasks C-4 C.3 Psychomotor Tasks C-10 C.4 Summary C-11 Appendix D Fatigue Models D-1 Appendix E Fatigue Countermeasures E-1 E.1 Short-term Countermeasures E-1 E.2 Fatigue Risk Management Systems E-2 E.2.1 Australia E-12 E.2.2 France E-17 E.2.3 New Zealand E-17 E.2.4 United Kingdom E-19 E.2.5 United States E-20 E.2.6 FRMS Recommendations for Fatigue Management E-24 E.2.7 Gaps E-24 Appendix F Survey from the Nation-wide Shiftwork & Fatigue Survey F-1 Appendix G Fatigue Measures G-1 G.1 Subjective Measures of Fatigue G-1 G.2 Objective Measures of Fatigue G-11 Appendix H Performance Measures H-1 H.1 Human Performance H-1 H.2 Workload H-3 H.3 Situational Awareness H-7 H.4 Boredom and Monotony H-9 H.5 Motivation and Stress H-14 Appendix I Sleep Disorders I-1 I.1 Insomnias I-1 I.1.1 Adjustment Insomnia (Acute Insomnia) I-1 I.1.2 Psychophysiological Insomnia I-1 v © 2011 The MITRE Corporation. All rights reserved. I.1.3 Paradoxical Insomnia I-2 I.1.4 Idiopathic Insomnia I-2 I.1.5 Insomnia Due to Mental Disorder I-3 I.1.6 Inadequate Sleep Hygiene I-3 I.1.7 Insomnia Due to Drug or Substance I-3 I.1.8 Insomnia Due to Medical Condition I-3 I.1.9 Insomnia Not Due to Substance or Known Physiological Condition, Unspecified (Nonorganic Insomnia, NOS) I-3 I.1.10 Physiological (Organic) Insomnia, Unspecified I-4 I.2 Sleep Related Breathing Disorders I-4 I.2.1 Central Sleep Apnea Syndromes I-4 I.2.2 Obstructive Sleep Apnea Syndromes I-5 I.2.3 Sleep Related Hypoventilation/Hypoxemia Syndromes I-9 I.3 Hypersomnias of Central Origin Not Due to a Circadian Rhythm Sleep Disorder, Sleep Related Breathing Disorder, or Other Cause of Disturbed Nocturnal Sleep I-9 I.3.1 Narcolepsy With Cataplexy I-9 I.3.2 Narcolepsy Without Cataplexy I-10 I.3.3 Narcolepsy Due to Medical Condition I-10 I.3.4 Narcolepsy, Unspecified I-10 I.3.5 Recurrent Hypersomnia (Including Kleine-Levin Syndrome and Menstrual- Related Hypersomnia) I-10 I.3.6 Idiopathic Hypersomnia With Long Sleep Time I-11 I.3.7 Idiopathic Hypersomnia Without Long Sleep Time I-11 I.3.8 Behaviorally Induced Insufficient Sleep Syndrome I-11 I.3.9 Hypersomnia Due to Medical Condition I-11 I.3.10 Hypersomnia Due to Drug or Substance I-11 I.3.11 Hypersomnia Not Due to Substance or Known Physiological Condition (Nonorganic Hypersomnia, NOS) I-12 I.3.12 Physiological (Organic) Hypersomnia, Unspecified, (Organic Hypersomnia, NOS) I-12 I.4 Circadian Rhythm Sleep Disorders I-12 I.4.1 Circadian Rhythm Sleep Disorder, Delayed Sleep Phase Type (Delayed Sleep Phase Disorder) I-12 I.4.2 Circadian Rhythm Sleep Disorder, Advanced Sleep Phase Type (Advanced Sleep Phase Disorder) I-13 vi © 2011 The MITRE Corporation.
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