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Human Factors In Integrated Rail Operations

RAILfactorAbout Contact Glossary Help Site Map ResearchHuman Factors In Integrated Rail Operations

Version II June, 2006

Guidelines for use:

Please view this presentation as a slide show (e.g. by pressing F5) and start by clicking on the ‘Homepage’ link at the top left. From there you should be able to navigate using the hyperlinks as you would on a website.

Please note that the data presented are for illustration only and may be inaccurate, outdated or both. Some of the links are not operational since this is a rapid prototype with limited functionality.

Please address any queries to Richard Bye

Homepage

About Contact Glossary Help Site Map Document

RAIL SYSTEM

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HOMEPAGE Human Factors In Integrated Rail Operations


Please refer to the About section for information about the content of the site and background to the project.


RAILfactor.com shows how railway group members collaborate to deliver rail services. The site has been developed by ergonomists to represent human factors issues for the UK railway - such as the need for shared situation awareness between operators working in distributed teams.

RAILfactor.com highlights the cognitive and collaborative demands at the interfaces of rail network control, signalling and driving.

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HOMEPAGE > Rail System

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Contact Glossary Help DocumentSite MapAbout Contact Glossary

The Rail System level of analysis shows the goals, attributes and structure of key organisations, and the social, economic & political links between them.

Read the About section for a detailed explanation.



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HOMEPAGE > Rail Functions

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HOMEPAGESignalling

DrivingControl

Contact Glossary Help DocumentSite MapAbout Contact Glossary

The Rail Functions level analyses the work of three core operational functions. The roles, goals and features of driving, signalling and control are described.


Signallers manage all train movements on the section of infrastructure for which they are responsible.

Controllers oversee the management of large sections of the rail network.

Drivers are responsible for the safe and efficient movement of individual rail vehicles.



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Control

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About Contact Glossary

Rail Network Control

The goal of railway control is the safe and efficient management of the real time railway network. Controllers have a significant contribution to make in the day to day management of delay and ensuring that contractual obligations relating to capacity are maintained. Thus their role is business based as well as technical in nature.

Overview: Structure and organisation

Features of controllers’ work

Roles of different types of control

History and technology

Performance: Goals

Key Performance Indicators

Skills, knowledge and expertise

Recruitment

Training and professional development

Operations: Working environments

Information and communication

Collaborative work (links with other functions)

Work system artefacts



Additional resources:

Sample documents

Rail control research

Control research in other domains

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Signalling

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Signalling

The goal of railway signalling is to provide separation between traffic in order to maintain system safety. Thus the primary objective of the signaller is to maintain safety, but at the same time, they must maximise the delivery of services in accordance with the timetable. Signallers also control and manage incidents as they occur, aiming to return the train service to its planned state as efficiently as possible.


Features of Signallers’ work

Different signalling systems

History and technology

Performance: Goals



Recruitment



Information and communication


Work system artefacts




Sample documents

Signalling research

CLE

RK

1CDM 2CDM1

ROUTE MANAGER

Trust Delay Attribution ClerksResponsible for the completion of delay attribution computer

forms. Liaise with the controllers to clarify when specific delay details required.

Route ManagerOverall control of the area on

the network. Deal with the minute by

minute management of the office.

Deal with the more serious incidents personally

Compile daily log of items affecting safety and time

keeping of the [passenger railway.

Deals with the outside world and those higher up in performance management.

Customer Delivery Manager (CDM)

Liaises with othrer DCMs. Route Manager and

Infrastructure controller within team. Main communications outside immediate control

team with TOC for this area and signalling staff.

Key work activities are to respond to alerts of

unplanned disruption on section of railway by managing services

(regulation)

CDM (cont)Reponsible for overseeing all

train movements within divisional boundaries. In

event of disruption to scheduled running, they must ensure the incident is beign

attended by the correct people and then take action

to restore services asap.

Incident Controller A role that was unique to this

control centre- managing infrastructure faults and

works (planned and unplanned in liaison with IMC controllers and DCM, route

manager)

CLE

RK

2

INFRASTRUCTURE CONTROLLER

SIGNALLERS

TOC control x2IMC control x1

Systems and EquipmentTRUSTTOPS

COMPASSNRN

TelephoneSignalling systems

CCF FRAME

FAX machinePager

Maps- ordinance survey, electrical supply to railway

etcSpecial instructions (weather conditions)

Weekly operation notices

HOMEPAGE > RAIL FUNCTIONS > CONTROL > Working Environments

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Control

WORK ACTIVITIES


The IECC working environment for control



HOMEPAGE > RAIL FUNCTIONS > Driving

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Driving

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Driving

The goal of the driving function is to perform safe and efficient movement of rolling stock in accordance with the rule book to fulfil the goals and obligations of train and freight operating companies.


Features of Drivers’’ work

Different types of train driving

Performance: Goals



Recruitment


Competence management


Information and communication artefacts



Applied research

Railway Group Standards

Interface with maintenance operations



HOMEPAGE > RAIL FUNCTIONS > DRIVING > Skills, Knowledge & Expertise

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Driving

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Experienced drivers will say that on a good day, when everything is running how it should, driving a train is easy. It isn’t easy, it’s just that experienced drivers develop strategies and heuristics to help them drive safely and efficiently, within the limits of human performance. Click the links blow for more information on the requirements of train driving tasks. The skills and knowledge section outlines the fundamental requirements and the expertise section describes some pertinent human factors issues.

Skills & Rules and regulations

Knowledge Route knowledge

Traction

Procedures

Signalling systems

Expertise Strategies to support attention & memory

Defensive driving

The role of experience

Decision making


The Rule Book

Route Knowledge Training media

Human Factors - Attention & Memory

Human Factors - Decision making



Signalling

Routine traffic regulation - services in timetable and on time

Non routine regulation - deviations from timetable

Real time management of infrastructure - real time restrictions

Planned management of infrastructure - e.g. possessions and electrical isolations

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Control

General Communication – answering queries and general fault report management

System Monitoring - for signs of current or impending disruption

Management of unplanned incidents - anticipate and respond to unexpected events

Managing planned work - contributing to the process for planned work

Driving

Traction operation - control of rail vehicles in normal and degraded conditions

Drive train in service - perform service duties for particular routes

Out of course event management - anticipate and respond to unexpected events

Monitor system state - recognise and report issues and faults

Work Activities are performed by rail operators in order to satisfy function level goals. All tasks fall within these work activities.



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Signalling

WORK ACTIVITIES


Signalling – Work Activities

The primary objective of the signaller is to maximise the delivery of services in accordance with the timetable. Signallers satisfy the function level goals through the control and management of incidents as they occur, returning the train service to it's "planned state" as efficiently as possible.




Traffic regulation

Signalling systems and work environments

Interface with maintenance functions

Routine traffic regulation - services in timetable and on timeNon routine regulation - deviations from timetable*Real time management of infrastructure - real time restrictions Planned management of infrastructure - e.g. possessions and electrical isolations

*Of the four work activities, real time management of infrastructure provides the greatest challenge to signallers.

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Control

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About Contact GlossaryHuman Factors In Integrated Rail Operations


Control – Work Activities

Whilst work in control is inherently varied and unpredictable, the controllers’ work can be summarised as the monitoring of the rail network and the management of deviations as incidents or events.

General Communication – answering queries and general fault report managementSystem Monitoring - for signs of current or impending disruption *Management of unplanned incidents - events that pose a threat to the steady state of the railway Managing planned work - contributing to the process for planned work

*Of the four work activities, the management of unplanned incidents provides the greatest challenge to controllers.


Traffic regulation

Different types of controller

Interface with maintenance functions

HOMEPAGE > WORK ACTIVITIES > Driving

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Driving

WORK ACTIVITIES


Driving – Work Activities

The work of train drivers can be divided in to four broad and overlapping categories. As described in the Rail Functions section there are several different types of train driving each with particular pressures and requirements. Where differences in work activities exist (e.g. between drivers of freight and high speed passenger services) these will be highlighted.

Traction operation - control of rail vehicles in normal and degraded conditionsDrive train service - perform service duties for particular routes *Out of course event management - anticipate and respond to unexpected eventsMonitor rail system state - recognise and report issues and faults

*Of the four work activities, out of course event management provides the greatest challenge to drivers.




Defensive driving

Different types of train driving

Adverse weather conditions – the facts

Safety and SPADS

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About Contact Glossary Help DocumentSite Map

Select a scenario…

Rolling StockTrain FailureWrong routingFatalityDerailmentSPAD

InfrastructureSignal IrregularityPoints FailureOLE FaultPossessionsTrack obstruction

Public InterfaceBridge StrikeTrespass / vandalismLevel Crossing Fault









Scenarios are context-rich examples of events. They are presented as illustrative examples of the collaborative work performed by control, signalling and driving.



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HOMEPAGE > SCENARIOS > Train Failure

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About Contact Glossary Help DocumentSite Map

Scenario Overview: Train Failure


The following scenarios include trains delayed by mechanical problems that may or may not be technically classed as failures. For current purposes a train failure occurs when a train on route (or other piece of rolling stock) cannot take its booked path due to a mechanical or other failure. Train failures vary widely in severity and therefore in the disruption they cause to the rail network. At first the incident is managed by the driver who must establish the cause and likely consequences so that this can be communicated to the signaller as quickly and accurately as possible. Signallers and controllers collaborate strategically to minimise the disruptive impact of the incident.

The key decision making pressures are time and uncertainty. All operators are under time pressure due to the dynamic nature of the system – the longer it takes to make a decision and act appropriately, the worse the situation will get. Uncertainty is also a factor since decisions will often have to be made with incomplete or inaccurate information. For example, the decision to call for a fitter depends on how long it will take for them to arrive on site, and how long it will take to fix the problem – if indeed the appropriate knowledge and equipment is available.

Train failures have different implications for drivers, signallers and controllers in line with operational goals and performance measures. Click on one of the functions in the diagram for detailed analyses.

Train Failure



HOMEPAGE > SCENARIOS> > DRIVING > Train Failure

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DETECT DEVELOP PLAN

IMPLEMENT PLAN

UNDERSTANDSITUATION


Out of course event management > Train Failure



>>Train Failure>

Wrong routingFatality

DerailmentSPAD

Signal IrregularityPoints Failure

OLE FaultPossessions

Track obstruction

Bridge StrikeTrespass / vandalismLevel Crossing Fault

How do Drivers detect a train failure?

It’s usually very easy for drivers to detect a train failure because they will perceive the event directly as it unfolds. A train failure will often vary markedly from what the driver is expecting, such as a mechanical problem that prevents brake release or cuts off power. The difficult thing for the driver is not detecting that there is a problem but understanding exactly what has happened.

The driver would not need any information from signallers or controllers at this time, unless it is to relay a fault or issue that had been reported by platform or P.Way staff.

Onboard staff and passengers are also able to alert the driver to problems but for the most part the problem will be minor and observable only to the driver.


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Driving

DETECTDEVELOP

PLANIMPLEMENT

PLANUNDERSTAND

SITUATION




How do drivers understand the nature and extent of a train failure?

Understanding the situation and its implications represents a challenging step for the driver. The driver must start looking for the fault immediately and build up a picture of possible reasons before calling Signaller. Drivers know that signallers are not interested in the nature of the technical fault, but in the extent of the failure and likely duration of delay.

The driver must make a diagnosis and assess the solutions available as quickly as possible - usually having only a few minutes to do so before risking detection by the signaller. Driver will be aware of the resulting delay on other services as a direct result of his/her actions and will use all available sources of information to diagnose the problem.

The time pressure may cause the driver to miss something obvious and rush into a misdiagnosis. There are many possible causes for an unsolicited loss of power or brake application so the driver will need to rule out scenarios such as TPWS activation before reporting a train failure to the signaller.

>>Train Failure>


DerailmentSPAD



Track obstruction



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How does the driver develop a plan?

The first step in the drivers’ plan would be to maintain the safety of passengers, other rail users, general public and him/herself. This is achieved by protecting the line (if necessary) and contacting the signaller.

Having satisfied the necessary safety duties the driver will be concerned with performance and minimising the risk of delay minute attribution. From the understanding of the situation the driver will be aware of the available options. These depend on the nature of the scenario:

The driver can fix the problem without physical assistance (e.g. reset a circuit breaker)

The driver can fix the problem but requires specialist assistance or equipment (e.g. a fitter is called)

The train cannot continue and requires assistance (e.g. TBird is despatched)

The train cannot continue and requires wheel skates or other plant (e.g. problem at the wheel/rail interface)

>>Train Failure>


DerailmentSPAD



Track obstruction



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How does the driver implement the plan?

Implementing the plan is not challenging for a driver since it will be governed by procedures in the Rule Book. At this stage the driver should make sure that they keep communication channels open and monitor for requirements to deviate from the agreed plan.

The rest of the plan depends on the nature of the fault. Select one of the links below for more information on different scenario versions:

The driver can fix the problem without physical assistance (e.g. reset a circuit breaker)

The driver can fix the problem but requires specialist assistance or equipment (e.g. a fitter is called)

The train cannot continue and requires assistance (e.g. TBird is despatched)

The train cannot continue and requires wheel skates or other plant (e.g. problem at the wheel/rail interface)

>>Train Failure>


DerailmentSPAD



Track obstruction


HOMEPAGE > SCENARIOS> > SIGNALLING > Train Failure

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Signalling

DETECT DEVELOP PLAN

IMPLEMENT PLAN

UNDERSTANDSITUATION


Real time management of infrastructure > Train Failure



>>Train Failure>


DerailmentSPAD



Track obstruction


How do Signallers detect a train failure?

Signallers are often notified of the problem by TOC control or from direct contact with the driver by mobile phone. Signallers prefer being contacted on the signal post telephone as this gives them immediate location information (before they have even spoken to the driver) thus providing additional context.

Signallers talk about knowing that there is a problem with a train before they are explicitly made aware (i.e. by a phone call from the driver). Signallers use the track circuits and prior knowledge to estimate the progress of a train through a section of track, if the train takes longer than they expect it to they talk about getting a “feeling” that something is wrong. Obviously this depends on the signaller’s workload and the degree to which they are distracted by other tasks.

The signaller needs to gather the relevant information as quickly as possible but is not really interested in what the fault is, just whether or not it can be fixed. Cues regarding the driver’s certainty and confidence are picked up during conversations.

The signaller needs to quickly ascertain the location of the train to work out how to route traffic around the blockage. If there is a delay in receiving this information traffic may start backing up behind the failed train, exacerbating the problem.


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Signalling

DETECTDEVELOP

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SITUATION




>>Train Failure>


DerailmentSPAD



Track obstruction


How do signallers understand the nature and extent of a train failure?

The signaller is located remotely from the failed train and does not need to know any details regarding the specific fault. Understanding the situation for the signaller therefore relates to the impact on the surrounding network and the knock-on effects in other areas of the network. The signaller will understand that a 10 minute delay for one service may result in much more severe delays to many others.

The challenging aspect is to make sure that all the relevant information has been collected and to keep the communication channels open to maintain a veridical picture of the incident. It is difficult for signallers to maintain situation awareness as they can focus in on the failure and lose sight of everything else in the section. If traffic is allowed to build up in the section it will become increasingly difficult to regulate due to the physical capacity of the network and the mental capacity of the signaller.

In addition to the explicit and implicit cues from the driver, the signaller must be able to select from a number of options that bring many dynamic variables into play. For example, if a train needs assistance preliminary information sought may include the location of rescue engine and the path it requires in order to assist.


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Signalling

DETECTDEVELOP

PLANIMPLEMENT

PLANUNDERSTAND

SITUATION




>>Train Failure>


DerailmentSPAD



Track obstruction


How does the Signaller develop a plan?

In developing a plan to deal with the failed train the signaller must keep current traffic moving by maximising the available infrastructure and stopping other traffic before junctions where necessary.

The type of scenario influences the length of time taken to clear the failed train. The plan is different for the different scenario types and the signaller must determine the scenario type as soon as possible. Generally if the driver fixes the train, this is the least disruptive scenario type. In practice it is uncommon that a fitter is sent (unless it is with an assisting engine) as the signaller will usually choose to have the train towed due to uncertainty that the fitter may not be able to fix the train after being sent.

Experienced signallers claim that once all the relevant information has been gathered it is simple to develop the plan. The quicker the signaller can develop and implement the plan the fewer delay minutes are incurred. The plan depends on timings and the signaller may use TRUST or a simplifier to calculate how to perform train moves such as how to get an assisting engine in.

The plan may have to be re-evaluated in the light of developments and more information will be required as the scenario unfolds – if the failed train has passengers the signaller may need to know how many are on board and how long the train is so that an appropriate station and platform can be found.

Contingency plans are often considered so that likely problems can be dealt with. If the driver says that the train can be fixed but sounds uncertain the signaller will probably plan the moves for an assisting engine anyway and may also contact the controller to discuss the need to thin out traffic in the area. This is easier if the signaller has had to deal with a similar situation before.


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Signalling

DETECTDEVELOP

PLANIMPLEMENT

PLANUNDERSTAND

SITUATION




>>Train Failure>


DerailmentSPAD



Track obstruction


How does a signaller implement the plan?

Having decided on a course of action it is fairly straightforward for the signaller to implement the plan. The work will be largely procedural but some of the procedures may be out of the ordinary, unfamiliar or unpractised – particularly for inexperienced signallers. For example, the signaller may rely on untried rules and procedures such as for single line working and complex train moves where the lack of signal protection increases risks. Errors may be more likely if these conditions are unfamiliar, especially given the time pressure felt by the signaller.

HOMEPAGE > SCENARIOS> > CONTROL > Train Failure

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DETECT DEVELOP PLAN

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About Contact Glossary Help Site Map DocumentAbout Contact Glossary

Management of disruption > Train Failure



How do Controllers detect a train failure?

Usually controllers are alerted to a train failure through communication from another operator - usually a phone call from a signaller. TOC maintenance control may also have been informed directly by the driver and would normally pass a message across. Drivers will not usually contact the network controller directly.

If detection relies on information from sources outside of the control team (i.e. passing a message or controller’s ear) there is a time delay and potential for error in that process. To combat this, skilful and proactive controllers use monitoring skills to anticipate failures. This relies on experience, situation awareness, detailed route knowledge, anticipation and pattern detection that combine to enable individuals to spot unusual situations as they develop.

>>Train Failure>


DerailmentSPAD



Track obstruction



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About Contact Glossary Help Site Map DocumentAbout Contact GlossaryHuman Factors In Integrated Rail Operations


DETECTDEVELOP

PLANIMPLEMENT

PLANUNDERSTAND

SITUATION


>>Train Failure>


DerailmentSPAD



Track obstruction


How does the controller understand the situation?

Like the signaller, the controller is only concerned with how long the train will act as an obstacle on the infrastructure's operational flexibility and needs to know what the fault is, only to be able to determine how the failed train will be moved out of the way. This involves four possible scenario variations:

The driver fixes it. What state will the train be in for forward movements and where will it be able to go to?A fitter fixes it. Experience operations controllers will consider the logistics of deployment and communicate with the TOC controller in advance so that a timely decision can be made. The train is assisted by another train. Used if the driver and fitter options are inappropriate. Controller will need more information (from colleagues and TOPS) including type, loading, coupling capability and length of the two trains. Also the speed and route of the contrain may adversely affect other services.The train requires wheel skates or some other mechanism for its removal. Worst case scenario in terms of disruption as equipment will be required on site, will take time to set up and will have restricted movement.

Each variation on this scenario requires time to determine its appropriateness. The controller will consider for each how long it will take to perform the actions required and the condition and requirements of the train that will emerge – such as the train and passengers’ onward journey.


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DETECTDEVELOP

PLANIMPLEMENT

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SITUATION


>>Train Failure>


DerailmentSPAD



Track obstruction


How does the controller develop a plan?

The fixed (by driver or fitter) or assisted (train or wheel skates) train requires a path from the point of failure to a suitable stopping point. This planning occurs early on in this scenario. The controller aims to get the train out of the way as soon and as sensibly as possible and will base the route on:

Train capabilities and restrictionsDriver route knowledgePassenger requirementsStopping opportunities such as stations and sidings

The provisional plan for clearing the train has to be agreed by the TOC and FOC. These controllers will put forward any constraints from their point of view. They will also be in a position to offer possibilities although this will probably have come from earlier communications in understanding the situation. This is a process of consultation and negotiation where companies with differing priorities, although working towards the same top level goal of managing disruption to the service, may disagree. The interpersonal skills of controllers are as valuable as their technical knowledge of the constraints and possibilities. The process can be slow and require multiple phone calls to different TOCs


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Control



DETECTDEVELOP

PLANIMPLEMENT

PLANUNDERSTAND

SITUATION


>>Train Failure>


DerailmentSPAD



Track obstruction


How does the controller implement the plan?

Once agreement has been reached the controller relays the plan to all who are required in its implementation. The distributed team required to manage a train failure often involves several people working in a co-ordinated manner. The controller needs to ensure that all parties have sufficient information in a timely manner. For this the controller has to know who needs to know and understanding of informal social networks can expedite the process. The implementation of plans across distributed teams takes time and co-ordination and there is potential for slow and erroneous communications.

The controller will review the plan and compare it to what is actually happening on the ground. This will require a focussed monitoring role during plan implementation. Experienced and skilled controllers make use of all possibilities for accessing real time information since the information systems cannot always be relied on to provide accurate and detailed information in real time, on demand. It is common practice if the controller suspects their may be a delay in obtaining accurate or rapid information for them to send a member of their own organisation's staff to site early in the process. They will also to focus their monitoring on the critical path of scenario development, using their knowledge and experience to identify milestones.

RAILfactor

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The information in this section explains how the website content is organised. Definitions are provided for each of the four levels of analysis to clarify how the decomposition works. This should make it easier to understand what information goes where and to enable you to find your way around the site.

The menu bar at the top of each page also provides additional information. The Research section contains downloadable reports containing more detailed discussions of the methods used. The Glossary provides definitions for technical terms and jargon, and the help page and site map provide …etc

To send us comments, suggestions and feedback please use the links in the Contact section.

Implement planDevelop planUnderstand

situationDetect

Apply rules/ regulations/

local knowledge/ experience

Collect and apply relevant

information

Apply understanding

of situation

Apply rules/ regulations/

local knowledge/ experience


Website organisationThe site is divided into four sections to represent progressively more detailed analysis of the rail industry.

1) Rail System: Industry level aims, objectives, organisations and structure 2) Rail Functions: Driving, signalling and control (plus less detailed analysis of other groups e.g. maintenance)3) Work Activities: The core activities of the functional groups 4) Scenarios: Detailed contextual analysis of work (e.g. given a train failure, who does what, when and how) etc

Numerous cognitive field research methods were employed in the data collection process ………………….

etc

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Please send us your comments and feedback by e-mail

For more information about the project please contact Richard Bye

This website was developed as part of a three-year academic research project at the department of Psychology, University of Sheffield and the Institute for Occupational Ergonomics, University of Nottingham.

Richard ByeAnjum Naweed Prof Bob Hockey

Trudi Farrington-DarbyGemma Cox Prof John Wilson

Sponsors and funding info here:


mailto:[email protected]?subject=RAILfactor:%20Comments%20and%20feedback

mailto:[email protected]?subject=Website%20enquiry

http://www.shef.ac.uk/psychology/research/human-factors

http://www.virart.nott.ac.uk/ioe/

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