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Commercial Truck and Bus Safety Synthesis 4 Individual Differences and the Sponsored by the Federal Motor Carrier "High-Risk" Commercial Driver Safety Administration A Synthesis of Safety Practice

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TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2004 (Membership as of July 2004) OFFICERS Chair: Michael S. Townes, President and CEO, Hampton Roads Transit, Hampton, VA Vice Chair: Joseph H. Boardman, Commissioner, New York State DOT Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS MICHAEL W. BEHRENS, Executive Director, Texas DOT SARAH C. CAMPBELL, President, TransManagement, Inc., Washington, DC E. DEAN CARLSON, Director, Carlson Associates, Topeka, KS JOHN L. CRAIG, Director, Nebraska Department of Roads DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN GENEVIEVE GIULIANO, Director, Metrans Transportation Center and Professor, School of Policy, Planning, and Development, USC, Los Angeles BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL GLORIA J. JEFF, Director, Michigan DOT ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley RONALD F. KIRBY, Director of Transportation Planning, Metropolitan Washington Council of Governments HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT SUE MCNEIL, Director, Urban Transportation Center and Professor, College of Urban Planning and Public Affairs and Department of Civil and Material Engineering, University of Illinois, Chicago MICHAEL D. MEYER, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology CAROL A. MURRAY, Commissioner, New Hampshire DOT JOHN E. NJORD, Executive Director, Utah DOT DAVID PLAVIN, President, Airports Council International, Washington, DC JOHN H. REBENSDORF, Vice President, Network Planning and Operations, Union Pacific Railroad Co., Omaha, NE PHILIP A. SHUCET, Commissioner, Virginia DOT C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin LINDA S. WATSON, Executive Director, LYNX--Central Florida Regional Transportation Authority, Orlando, FL MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT (ex officio) SAMUEL G. BONASSO, Acting Administrator, Research and Special Programs Administration, U.S.DOT (ex officio) REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA (ex officio) GEORGE BUGLIARELLO, Chancellor, Polytechnic University and Foreign Secretary, National Academy of Engineering (ex officio) THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard (ex officio) JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT (ex officio) EDWARD R. HAMBERGER, President and CEO, Association of American Railroads (ex officio) JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials (ex officio) RICK KOWALEWSKI, Deputy Director, Bureau of Transportation Statistics, U.S.DOT (ex officio) WILLIAM W. MILLAR, President, American Public Transportation Association (ex officio) BETTY MONRO, Acting Administrator, Federal Railroad Administration, U.S.DOT (ex officio) MARY E. PETERS, Federal Highway Administrator, U.S.DOT (ex officio) SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. Environmental Protection Agency (ex officio) JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT (ex officio) ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT (ex officio) WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT (ex officio) JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT (ex officio) CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers (ex officio) ROBERT A. VENEZIA, Program Manager of Public Health Applications, National Aeronautics and Space Administration (ex officio)

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COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS PROGRAM Synthesis 4 Individual Differences and the "High-Risk" Commercial Driver RONALD R. KNIPLING Virginia Tech Transportation Institute Blacksburg, VA LINDA N. BOYLE University of Iowa College of Engineering Iowa City, IA JEFFREY S. HICKMAN Virginia Tech Center for Applied Behavior Systems Blacksburg, VA JAMES S. YORK Zurich Services Corporation Fredericksburg, VA CARMEN DAECHER Daecher Consulting Group Camp Hill, PA ERIK C. B. OLSEN TAMMY D. PRAILEY Virginia Tech Transportation Institute Blacksburg, VA S UBJECT A REAS Operations and Safety Public Transit Freight Transportation Research Sponsored by the Federal Motor Carrier Safety Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2004 www.TRB.org

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COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS PROGRAM CTBSSP SYNTHESIS 4 Safety is a principal focus of government agencies and private-sector organizations concerned with transportation. The Federal Motor Carrier Safety Administration Project MC-04 FY'03 (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 ISSN 1544-6808 the Federal Highway Administration, the FMCSA's primary mission is to prevent commercial motor vehicle-related fatalities and injuries. Administration activities ISBN 0-309-08810-0 contribute to ensuring safety in motor carrier operations through strong enforcement of Library of Congress Control Number 2004112324 safety regulations, targeting high-risk carriers and commercial motor vehicle drivers; improving safety information systems and commercial motor vehicle technologies; 2004 Transportation Research Board strengthening commercial motor vehicle equipment and operating standards; and increasing safety awareness. To accomplish these activities, the Administration works with federal, state, and local enforcement agencies, the motor carrier industry, labor, Price $22.00 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 doc- umented form or as undocumented experience and practice. This information may be NOTICE fragmented, scattered, and underevaluated. As a consequence, full knowledge of what The project that is the subject of this report was a part of the Commercial Truck and has been learned about a problem may not be brought to bear on its solution. Costly Bus Safety Synthesis Program conducted by the Transportation Research Board with research findings may go unused, valuable experience may be overlooked, and due the approval of the Governing Board of the National Research Council. Such approval consideration may not be given to recommended practices for solving or alleviating the reflects the Governing Board's judgment that the program concerned is appropriate problem. with respect to both the purposes and resources of the National Research Council. There is information available on nearly every subject of concern to commercial truck The members of the technical committee selected to monitor this project and to and bus safety. Much of it derives from research or from the work of practitioners faced review this report were chosen for recognized scholarly competence and with due with problems in their day-to-day work. To provide a systematic means for assembling consideration for the balance of disciplines appropriate to the project. The opinions and and evaluating such useful information and to make it available to the commercial truck conclusions expressed or implied are those of the research agency that performed the and bus industry, the Commercial Truck and Bus Safety Synthesis Program (CTBSSP) research, and, while they have been accepted as appropriate by the technical panel, they was established by the FMCSA to undertake a series of studies to search out and are not necessarily those of the Transportation Research Board, the National Research synthesize useful knowledge from all available sources and to prepare documented Council, or the Federal Motor Carrier Safety Administration of the U.S. Department of reports on current practices in the subject areas of concern. Reports from this endeavor Transportation. constitute the CTBSSP Synthesis series, which collects and assembles the various forms of information into single concise documents pertaining to specific commercial truck Each report is reviewed and accepted for publication by the technical panel according to and bus safety problems or sets of closely related problems procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. The CTBSSP, administered by the Transportation Research Board, began in early 2002 in support of the FMCSA's 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 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 com- Special Notice panies, or other organizations appropriate for the specific topic). The primary users The Transportation Research Board, the National Research Council, and the Federal of the syntheses are practitioners who work on issues or problems using diverse Motor Carrier Safety Administration (sponsor of the Commercial Truck and Bus Safety approaches in their individual settings. The program is modeled after the successful Synthesis Program) do not endorse products or manufacturers. Trade or manufacturers' synthesis programs currently operated as part of the National Cooperative Highway names appear herein solely because they are considered essential to the clarity and Research Program (NCHRP) and the Transit Cooperative Research Program (TCRP). completeness of the project reporting. This synthesis series reports on various practices, making recommendations where appropriate. Each document is a compendium of the best knowledge available on mea- sures found to be successful in resolving specific problems. To develop these synthe- ses in a comprehensive manner and to ensure inclusion of significant knowledge, avail- Published reports of the able information assembled from numerous sources, including a large number of relevant organizations, is analyzed. COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS PROGRAM For each topic, the project objectives are (1) to locate and assemble documented infor- mation (2) to learn what practice has been used for solving or alleviating problems; (3) are available from: to identify all ongoing research; (4) to learn what problems remain largely unsolved; and Transportation Research Board (5) to organize, evaluate, and document the useful information that is acquired. Each Business Office synthesis is an immediately useful document that records practices that were acceptable 500 Fifth Street, NW within the limitations of the knowledge available at the time of its preparation. Washington, DC 20001 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 and can be ordered through the Internet at: perspectives--commercial truck and bus carriers, key industry trade associations, state http://www.national-academies.org/trb/bookstore regulatory agencies, safety organizations, academia, and related federal agencies. Major Printed in the United States of America 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 publication recommendations. Each year, potential synthesis topics are solicited through a broad industry-wide Note: The Transportation Research Board of the National Academies, the process. Based on the topics received, the Program Oversight Panel selects new synthesis National Research Council, and the Federal Motor Carrier Safety Administration topics based on the level of funding provided by the FMCSA. In late 2002, the Program do not endorse products or manufacturers. Trade or manufacturers' names Oversight Panel selected two task-order contractor teams through a competitive process appear herein solely because they are considered essential to the object of this to conduct syntheses for Fiscal Years 2003 through 2005. report.

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board's varied activities annually engage more than 5,000 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. www.TRB.org www.national-academies.org

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COOPERATIVE RESEARCH PROGRAMS STAFF FOR CTBSSP SYNTHESIS 4 ROBERT J. REILLY, Director, Cooperative Research Programs CHRISTOPHER W. JENKS, Manager, Commercial Truck and Bus Safety Synthesis Program EILEEN P. DELANEY, Director of Publications KAMI CABRAL, Associate Editor BETH HATCH, Assistant Editor COMMERCIAL TRUCK AND BUS SAFETY SYNTHESIS PROGRAM OVERSIGHT PANEL STEPHEN CAMPBELL, Commercial Vehicle Safety Alliance, Washington, DC (Chair) REBECCA M. BREWSTER, American Transportation Research Institute, Smyrna, GA KENNETH CAMPBELL, Oak Ridge National Laboratory, Oak Ridge, TN THOMAS M. CORSI, University of Maryland, College Park, MD DENNISON COTTRELL, New York State DOT, Albany, NY MARK L. EDWARDS, Consultant, Longwood, FL NICHOLAS J. GARBER, University of Virginia, Charlottesville, VA THOMAS D. GILLESPIE, University of Michigan, Ann Arbor, MI ALEX GUARIENTO, Greyhound Lines, Inc., Dallas, TX SCOTT MADAR, International Brotherhood of Teamsters, Washington, DC WILLIAM MAHORNEY, American Bus Association, Washington, DC JAMES W. McFARLIN, ABF Freight System, Inc., Fort Smith, AR WILLIAM C. ROGERS, Motor Freight Carriers Association, Washington, DC JOHN SIEBERT, Owner-Operator Independent Drivers Association, Grain Valley, MO LARRY F. SUTHERLAND, Ohio DOT, Columbus, OH DAVID K. WILLIS, Texas A&M University, College Station, TX DAVID SMITH, FHWA Liaison ALBERT ALVAREZ, FMCSA Liaison DOUG McKELVEY, FMCSA Liaison MARTIN WALKER, FMCSA Liaison DUANE PERRIN, NHTSA Liaison GREG HULL, APTA Liaison JOE OSTERMAN, NTSB Liaison LEO PENNE, AASHTO Liaison CHRISTOPHER ZEILINGER, CTAA Liaison CHARLES NIESSNER, TRB Liaison RICHARD PAIN, TRB Liaison

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This synthesis will be of use to state agencies, commercial truck and bus carriers, FOREWORD and others interested in improving commercial vehicle safety. It explores individual By Christopher W. Jenks differences among commercial drivers, particularly as these differences relate to the CTBSSP Manager "high-risk" commercial driver. The synthesis identifies factors relating to commercial Transportation Research vehicle crash risk and assesses ways that the high-risk driver can be targeted by vari- Board ous safety programs and practices, at both fleet- and industry-wide levels. It summa- rizes available information on individual differences in commercial driver safety per- formance and alertness, examines various metrics and tests that might be used to hire safer drivers and avoid hiring high-risk drivers, and identifies safety management tech- niques that are currently used by commercial vehicle carriers to target problem drivers and their specific risky behaviors. Information for this synthesis was obtained through surveys of current commercial motor vehicle safety managers and other experts in com- mercial motor vehicle safety; a focus group conducted with staff members of the U.S. DOT Federal Motor Carrier Safety Administration (FMCSA); and a review of relevant literature. 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 con- sideration 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 practition- ers faced with problems in their day-to-day jobs. To provide a systematic means for assembling 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 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 FMCSA's safety research programs. The program initiates three to four synthesis studies annually that address issues in the area of commercial truck and bus safety. A synthesis report is a document that sum- marizes existing practice in a specific technical area based typically on a literature

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search and a survey of relevant organizations (e.g., state DOTs, enforcement agencies, commercial truck and bus companies, or other organizations appropriate for the spe- cific topic). The primary users of the syntheses are practitioners who work on issues or problems using diverse approaches in their individual settings. 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 spe- cific problems. To develop these syntheses in a comprehensive manner and to ensure inclusion of significant knowledge, available information assembled from numerous sources is analyzed. For each topic, the project objectives are (1) to locate and assemble documented information; (2) to learn what practices have been used for solving or alleviating prob- lems; (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 prac- tices that were acceptable within the limitations of the knowledge available at the time of its preparation.

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CONTENTS 1 SUMMARY 5 CHAPTER 1 Introduction 1.1 Background: Illustrative Example, 5 1.2 Scope, 5 1.3 Approach, 7 8 CHAPTER 2 Survey Method and Results 2.1 Method, 8 2.1.1 Survey Design and Content, 8 2.1.2 Survey Distribution and Analysis, 8 2.2 Principal Survey Results, 9 2.2.1 Part 1: How Important Is the Problem? 9 2.2.2 Part 2: Driver Factors Associated with Risk, 9 2.2.3 Part 3: Driver Hiring Practices and Tools, 10 2.2.4 Part 4: Driver Evaluation, 10 2.2.5 Part 5: Driver Management, 11 2.2.6 Part 6: Comments, 11 2.2.7 Part 7: Respondent Information, 11 14 CHAPTER 3 Concepts of Crash Risk 3.1 The Concept of Accident Proneness, 14 3.2 Models of Driver Error and Risk, 14 17 CHAPTER 4 Factors Related to Driver Risk 4.1 Driver Age and Gender, 17 4.1.1 Age, 17 4.1.2 Gender, 18 4.2 Driving History, 18 4.2.1 Commercial Driving Experience, 18 4.2.2 Longevity with Company, 19 4.2.3 Crashes, Violations, and Incidents, 19 4.2.4 Defensive Driving, 21 4.3 Non-Driving Criminal History, 21 4.4 Medical Conditions and Health, 22 4.4.1 Sleep Apnea, 22 4.4.2 Narcolepsy, 23 4.4.3 Diabetes, 23 4.4.4 Other Medical Conditions, 24 4.5 Alcohol and Drug Abuse, 24 4.6 Driver Fatigue, 24 4.7 Personality, 28 4.7.1 Impulsivity and Risk-Taking, 29 4.7.2 Social Maladjustment and Aggressive/Angry Personalities, 29 4.7.3 Introversion-Extroversion, 30 4.7.4 Locus of Control, 30 4.7.5 Extreme ("Dichotomous") Thinking, 30 4.8 Sensory-Motor Performance, 31 4.9 Other Risk Factors, 31 4.9.1 Stress, 31 4.9.2 Recent Involvement in Other Crashes, 31 4.9.3 Safety Belt Use, 32 4.10 Risk Factors Identified in Other Transportation Modes, 32 4.10.1 Maritime Operations, 32 4.10.2 Rail, 33 4.10.3 Aviation, 33 34 CHAPTER 5 Operational Safety Management Methods 5.1 Conceptual Models of Driver Improvement, 34 5.2 Recruiting/Selection/Hiring, 34 5.2.1 Systematic Hiring, 34 5.2.2 Selection Tests, 36 5.3 Driver Performance Evaluation, 38

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5.4 Driver Employee Management, 39 5.4.1 Training and Counseling, 39 5.4.2 Rewards and Punishment, 40 5.4.3 Behavior-Based Safety, 41 5.4.4 Driver Self-Management, 43 5.4.5 Termination, 43 45 CHAPTER 6 Research and Development Needs 47 REFERENCES A-1 APPENDIX A Glossary B-1 APPENDIX B Project Statement of Work C-1 APPENDIX C Carrier Safety Manager Survey Form D-1 APPENDIX D Other Expert Survey Form E-1 APPENDIX E Relevant Statistical Concepts F-1 APPENDIX F Sample "Tools" for Improved Driver Selection and Monitoring F-2 APPENDIX F-1 Driver Hiring Process F-3 APPENDIX F-2 Application for Employment F-6 APPENDIX F-3 Structured Personal Interview F-16 APPENDIX F-4 Minimum Driver Eligibility Criteria F-18 APPENDIX F-5 Driver Safety Record F-19 APPENDIX F-6 Performance Coaching Job Aid