M&E ENGINEERS NETWORKING GROUP - RSSBM&E ENGINEERS NETWORKING GROUP ... communication, ... Under no circumstances should the trainee be allowed to drive or take control of the OTM

COP 0103Issue 3

July 2005

Code of Practice

for

Basic Training,

Assessment and Post

Qualifying Monitoring

- OTM Drivers

M&E ENGINEERS NETWORKING GROUP

Uncontrolled When Printed Document withdrawn as of 03/09/2011

Railway Infrastructure Contractors M&E Engineers No COP 0103

Networking Group Code of Practice Page 2 of 61

Basic Training, Assessment and Issue 3

Post Qualifying Monitoring – OTM Drivers Date July - 2005

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BACKGROUND

A sub-group of the M & EE Professional Heads networking group have looked at the arrangements for basictraining, assessment and post qualifying monitoring for On-Track Machine Drivers to meet the requirementsof Railway Group Standard GO/RT3251and recommend the following as an Industry wide Code of Practice.

GROUP MEMBERS REPRESENTATIVE POSITION DATE

AMEC SPIE RAIL

Alan Cooper Operations Manager

AMEYINFRASTRUCTURESERVICES

John Gribble Rail Operations AssuranceManager

BALFOUR BEATTYRAIL PLANT

Alf Wade Operations StandardsManager

CARILLIONCONSTRUCTION Ltd

Andy Bosworth Railway Safety CaseManager

FIRST ENGINEERING

John Shields Driver Standards Manager

GRANT RAILNeal Fussey OTM Competence &

Standards Manager

HARSCO TRACKTECHNOLOGIES

Steve Gear Operations Manager

JARVIS Fastline

Phil Charlton Operations Standards andDevelopment Manager

SECO RAIL

Dave Ball Operations StandardsManager






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CONTENTS

Section DescriptionPage

1 Purpose 4

2 Scope 4

3 Definitions 4

4 Introduction 5

5 Basic Driver Training 6

6 Stage 1 – Company Induction 7

7 Stage 2 - Introduction to Railway Operations 8

8 Stage 3 – Rules, Regulations, Company Instructions andSPAD Awareness

10

9 Stage 4 – Principles of Route Knowledge 12

10 Stage 5 – OTM Traction Training 13

11 Stage 6 – OTM Driver Training 14

12 Stage 7 – Practical OTM Driving / Experience 15

13 Basic Driver Training of Recruits with Railway OperationalExperience

18

14 Training records 19

15 Management of training 20

16 Assessment of competence 21

17 Post qualifying monitoring/assessment of Drivers 22

References 23

Appendices:

Appendix A – Training Syllabus 24






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1. Purpose

1.1 This Code of Practice (CoP) details the recommended arrangements for the basic training,assessment and post qualifying monitoring of trainee and newly appointed On Track Machine(OTMs) drivers to meet the requirements of Railway Group Standard GO/RT3251.

1.2 This Code of Practice is a statement of good practice for Infrastructure companies who aremembers of the M&EE Networking Group.

2. Scope

2.1 This document applies to the driving of OTMs (as defined by GE/RT8000 Module OTM) on NetworkRail controlled infrastructure.

2.2 This document is an application of Railway Group Standard GO/RT 3251, which states:

‘Duty Holders shall ensure that processes are in place for persons to acquire, in a controlled way,the skills and knowledge necessary for competent OTM driving. Such processes shall besupervised by persons competent to prevent training activities from causing increased risk to safeoperation on Network Rail controlled infrastructure.’

2.3 Issue 3 of this document includes the following changes:

1) A ‘model’ training syllabus has been added.

2) The requirement to achieve 225 hours practical experience at controls is replaced by arequirement to achieve required standards of competence in the tasks specified in M&EECoP0115.

3) Traction Training, including introduction to OTMs and depot driving, is split from Open LineDriver Training.

3. Definitions

CoP: Code of Practice

OTM: On – Track Machine

Trainee Driver: Any person selected and undertaking basictraining stages 1 – 5.

Probationary Driver: A person who has completed basic trainingstage 6.

Newly Qualified Driver: A person who has completed basic trainingstage 7.

OTM Driver: A person who has completed basic trainingstage 8.

Mentor Driver: A person meeting the requirements of M&EECoP0112.






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4. Introduction

4.1 This CoP provides guidance on the content and duration for the basic training of recruits:

with no previous railway operational experience in train/OTM working.

with previous railway operational experience in train/OTM working.

4.2 The recommended criteria specified in this CoP should be used as a basis for Train Operators todevelop company specific driver training programmes.

Company specific training programmes should be able to demonstrate:

that activities associated with OTM driving that have the potential to introduce risk tooperational safety or to the health and safety of people have been identified and appropriatetraining will be provided in those activities;

the use of competence standards as defined in RGS GO/RT3251 Train Driving andsupporting Code of Practice GO/RC3551. The suitability and scope of these standardsshould be specifically developed according to the nature of the company’s operations andpotential risks.

assessments of competence are conducted in accordance with the requirements of RGSGO/RT3260 Competence Management System.

4.3 A suggested training syllabus is provided in appendix A. This syllabus is based on therequirements specified in GO/RT 3251 and GO/RC3551 and addresses training and competenceassessment of the tasks specified in M&EE CoP 0115 – Driver Task Analysis.

4.4 Duty holders using this CoP must satisfy themselves through risk assessment that their trainingand competency assessment regime ensures driver competence before a driver is certified as ‘fullyqualified, and is allowed to drive unsupervised on Network Rail controlled infrastructure.






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5. Basic Driver training

5.1 Basic driver training programmes should include the following:

Stage 1 Company Induction

2 Introduction to railway operations and role of OTM Driver

3 Rules, regulations and company procedures

4 Principles of Route Knowledge

5 OTM Traction Training

6 OTM Driver Training

7 Practical OTM Driving/Experience & Final Assessment

8 Post Qualifying Monitoring & Assessment

5.2 Where a modular based approach to training is provided, training in key areas may be integratedwithin other subject areas provided that the training objectives are achieved.

5.3 Sections 7 - 12 of this CoP provide further detail on each stage of basic driver training






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6. Stage 1 – Company Induction

6.1 Objective

To provide training in health and safety, arrangements for first aid, fire safety and relevantemergency instructions applicable to the company.

6.2 Content

6.2.1 Induction training should include:

organisational structure and position of trainee within the company;

company safety policy;

health and safety at work and sources of health and safety information;

hazards in the workplace, personal safety and safe systems of work;

drugs and alcohol policy;

chain of care and support arrangements;

COSHH;

manual handling;

accident and incident reporting procedures;

fire arrangements and basic fire fighting (including practical experience);

first aid arrangements and emergency first aid;

equal opportunities and harassment policy;

discipline, grievance procedures; conditions of service/pay etc;

Personal Track Safety (PTS).

This list is not exhaustive.

6.3 Syllabus

6.3.1 A model syllabus for Stage 1 training is provided in appendix A.

The stage 1 syllabus consists of 3 modules:

Module 1: Welcome and Company Induction

Module 2: Receive Company Safety Briefing

Module 3: Hazards in the Workplace






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7. Stage 2 - Introduction to Railway Operations

7.1 Objective

Trainees should be provided with an appreciation of railway operations and an understanding ofthe role of the OTM driver before embarking on more specific training in rules and traction. Thisshould include and place emphasis on, workplace and driving cab experience to enable the traineeto gain an appreciation of the drivers’ working environment.

7.2 Content

7.2.1 Job Specific induction and introduction to rules

This section should include:

induction training for OTM driving including interfaces with other employees;

preparation for duty – requirements for personal fitness;

documentation, publications and equipment;

information for safe and punctual OTM running;

communication, phonetic alphabet, railway terminology and the hazards with using railwayjargon;

walking routes and safe methods of working;

introduction to OTM’s, including basic traction principles;

introduction to yard and depot working;

introduction to possession working;

basic signalling principles and systems;

line side features and equipment;

introduction to bringing OTM’s into service and responding to out-of-course and emergencysituations;

introduction to SPAD avoidance and defensive driving techniques;

site visits to a signal box/signalling centre;

reporting of incidents;

dealing with traumatic incidents such as signal reversions, near misses and fatalities.






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7.2.2 Workplace experience and cab riding

Practical work place experience consisting of site visits and cab riding should be provided toenable the trainee to gain an appreciation of a wide variety of work place conditions applicable toOTM driving.

Cab riding should be focussed on routes and OTM types the trainee will drive over when qualifiedand, if practicable, experience during the hours of darkness should be provided.

Under no circumstances should the trainee be allowed to drive or take control of the OTM onrunning lines during this stage of training.

7.3 Syllabus



Module 1: Introduction and recap on stage 1

Module 2: Introduction to local working environment

Module 3: Personal Preparation

Module 4: Safety Critical Communications

Module 5: Introduction to Railway Infrastructure

Module 6: Introduction to OTMs and the driver’s role






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8. Stage 3 - Rules, Regulations, Company Instructions and SPADAwareness

8.1 Objective

To obtain knowledge of all relevant rules, operating instructions and procedures of their employerand the infrastructure over which the driver will operate. This includes signalling systems, OTMworking and dispatch arrangements, operating instructions necessary for the safe working ofOTM’s during normal, abnormal and out-of-course/emergency situations, SPAD awareness anddefensive driving techniques. It should also provide trainees with additional rules training inelements of competence applicable to the specific depots or locations at which the trainee will berequired to work, when qualified.

8.2 Content

8.2.1 Training in rules and regulations

Training in rules and regulations should include:

communications (including use of train radio equipment);

identification of signals, train regulation including signalling and block working;

working of OTM’s;

vehicle equipment, defects and isolation of safety systems such as Automatic WarningSystems (AWS), Automatic Train Protection (ATP) and Train Protection Warning Systems(TPWS);

speed restrictions – permanent, temporary and emergency;

detention of OTM’s on running lines;

train protection arrangements;

assistance procedures;

accidents and fatalities;

shunting and depot operations;

authority to pass signals at danger;

wrong direction movements;

adverse weather including low adhesion;

floods and snow

actions to take following incidents and accidents, including response to out-of-coursesituations;

OTM braking procedures;

fires on OTM’s and the infrastructure;

cab evacuations, in an emergency;

lessons learnt from recent rail accidents and incidents.

level crossings;

bi-directional working;

permissive working;

single line working;

temporary block working;






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working manual;

working within possessions;

AC and DC electrified lines instructions;

safety equipment isolation and procedures.

This list is not exhaustive.

8.2.2 Training in SPAD awareness and defensive driving techniques

Initial SPAD awareness training and training in defensive driving techniques should beprovided and include:

causes and risks of SPADs and actions that a driver can take to prevent them;

SPAD categorisation and summary of underlying causes;

multi SPAD and high risk signals – sources of information;

review of SPADed signals applicable to the company. Reasons for SPADs at these signalsplus update on actions taken and techniques drivers can take to prevent a further incidentoccurring;

SPAD statistics for the company;

review of recent case studies of SPADs– particularly those where driver inexperience was afactor;

defensive driving and low adhesion driving techniques – use of or company specific briefrequired;

managing alertness and life style education;

Driver Reminder Appliance (DRA) and the risks of overuse and non-use;

actions to take following a SPAD;

include relevant videos on SPADs, defensive driving and use of DRA.

Training in SPAD awareness and defensive driving techniques should form a critical part of allother key areas of driver training (particularly OTM driving) to ensure that the subject alwaysretains a high profile.

8.3 Syllabus



Module 1: Rule Book Training

Module 2: SPAD Awareness

Module 3: Introduction to Professional Driving






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9. Stage 4 - Principles of Route Knowledge

9.1 Objective

9.1.1 To provide trainee drivers with the necessary competence in the physical characteristics andinstructions important to correct OTM driving, to include location of stations and signals, gradients,speed restrictions, location of points, crossings, junctions and associated route direction and otherkey aspects of track layout. This includes signalling risks and the locations of multi-SPADedsignals.

9.2 Content

9.2.1 Before undertaking in cab route training, trainees should be provided with suitable training andinformation regarding the route. This should include:

detailed route maps which include all signals; stations, crossovers, junctions, speedrestrictions and gradients;

details of non-standard signals on the route;

details of locations where ‘signalling traps’ exist, such as signals where reading through oracross is possible;

details of multi-SPADed signals on the route;

sources of further information, such as contact numbers for signal boxes’ local Network Railproduction managers, route learning schools etc.

9.2.2 Supervised learning should normally be provided for complex areas. Where supervised learning isnot available, trainees should be instructed to carry out cab riding with driver instructors, orspecially identified route instructor drivers.

9.3 Syllabus



Module 1: Route Characteristics;

Module 2: Route Risks.






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10. Stage 5 - OTM Traction Training

10.1 Objective

10.1.1 The objective of this section is to ensure that trainees acquire essential technical skills andcompetence necessary to drive a basic form of OTM safely in a controlled environment, with aqualified Driver Instructor. This includes understanding the characteristics of OTM driving, functionand use of driving controls, machine preparation, disposal and basic fault finding and rectification.

10.2 Content

10.2.1 Basic traction training

To include the following:

location and function of equipment and controls;

function of safety systems including procedures and instructions when isolated or defective;

OTM preparation, mobilisation and disposal;

fault identification and rectification;

assistance procedures;

10.2.2 A focus should be placed on practical “hands on” training to allow the trainee to relate classroomtheory to workplace reality.

10.2.3 Prior to undertaking practical OTM driving on Network Rail infrastructure (Stage 6) the traineeshould obtain experience on a depot or in a siding in setting up the cab, changing ends, low speedapproaches to buffer stops and use of the emergency brake.

10.3 Competence Assessment

10.3.1 Prior to progressing forward to Stage 6, the trainee must be assessed to establish that they arecompetent to drive OTM’s on the open railway under instruction.

10.4 Syllabus

10.4.1 A model syllabus for Stage 5 training is provided in Appendix A.


Module 1: Prepare OTM/Train for Service

Module 2: Shunt, Couple and Uncouple OTMs in Yards






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11. Stage 6 - OTM Driver Training

11.1 Objective

The objective of this section is to provide the trainee with the practical skills required to driveOTM’s safely and efficiently on Network Rail Controlled Infrastructure.

11.2 Content

This section contains specific training in:

driving during the hours of daylight and darkness

braking types

judging speed and distance

driving during all environmental conditions

defensive driving techniques

SPAD avoidance techniques.

gaining driving experience over routes with signalling risks and multi-SPADed signals.

• practical handling for low adhesion conditions

11.3 Competence assessment

11.3.1 Prior to progressing forward to Stage 7, the trainee must be assessed to establish that they arecompetent to drive OTMs under the guidance of a Mentor Driver.

11.3.2 Following successful completion of a competency assessment the trainee shall be issued with acompetency certificate endorsed “Probationary Driver”.

11.4 Syllabus



Module 1: Drive OTMs/Trains in Service

Module 2: Low rail adhesion conditions

Module 3: Possession Working

Module 4: Emergency & Out of Course Situations

Module 5: Respond to failures of train borne safety equipment

Module 6: Disposal of OTM and booking off duty






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12. Stage 7 - Practical OTM Driving/Experience

12.1 Objective

The objective of this stage is to enable the trainee to gain practical experience in the full range ofdriving conditions and techniques in normal, out of course and emergency situations.

12.1.1 On successful completion of this module the trainee will be subject to a full competencyassessment. The ‘Newly Qualified Driver’ will then be issued with a certificate of competence validfor a period of one year.

12.2 Duration

12.2.1 In determining the duration of this stage, the following factors should be considered:

the nature of the company’s operations and potential risks to which a Train Operator isexposed;

the complexity of the signalling systems over which training is conducted, and routes thetrainee will operate over when qualified;

the complexity of the driving controls and operating characteristics of the OTMs;

opportunity for the trainee to experience out-of-course situations and rules infrequentlyapplied;

the speed of operation and the different types of braking systems;

the need to experience driving conditions during the hours of darkness, the number of routesthe trainee will be required to operate and sign when qualified;

detail of any weather conditions that may regularly prevail over routes the trainee will driveover when qualified – for example high winds, snow or freezing conditions, for or poorvisibility;

company specific data on SPAD or other operational safety trends which indicate arelationship between driver inexperience and SPADs.

12.3 Structure of practical driving

Probationary Drivers must be rostered with a Mentor Driver or Driver Instructor for all aspects ofthis stage. Experience gained must be evidenced through records in the driver’s logbook,countersigned by the Mentor Driver or Driver Instructor. The countersigned logbook forms anessential part of the demonstration of competence.

Practical driving experience is structured to:

a) put into practice all skills and techniques learned during stage 1- 6 training;

b) provide maximum opportunity to experience the full range of driving conditions, including out-of-course working such as single line working, the authorised passing of signals at danger,permissive working and the application of rules to practical situations, including abnormaldriving situations.

12.4 Content

12.4.1 Practical Driving techniques

This stage of training builds practical experience in all open line driving, under the directsupervision of a qualified Driver Instructor or Mentor Driver as applicable.

12.4.2 Defensive driving techniques






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Emphasis should be placed on practising defensive driving and SPAD avoidance techniques. Thisshould include gaining driving experience over routes with signalling risks and multi-SPADedsignals.

12.4.3 Practical handling for low adhesion conditions

If practical driving is carried out outside the autumn leaf fall season, the following should beconsidered:

additional monitoring, coaching and assessment at the start of and during the leaf fallseason;

provision of skid pan training or simulator training.

12.4.4 Driving during darkness

Training must include a balance between daylight and driving during the hours of darkness.

12.5 Interim Assessment

12.5.1 Provision should be made for the Probationary Driver to be assessed throughout the period ofpractical OTM driving to ensure that no problems are being encountered and that satisfactoryprogress is being made.

12.5.2 A significant portion of evidence to support the interim assessment regime will be provided byrecorded experience, contained within the probationary driver logbook. Where a driver hasexperienced particular driving conditions, these must be recorded in the logbook and countersignedby the mentor driver / driver instructor.

12.6 Final Assessment

12.6.1 Following completion of Stage 7, a full competence assessment must be undertaken. Theassessment should:

be carried out over the route(s) with which the Probationary Driver is conversant and willoperate over when qualified. As far as practicable, this should include complex signallinglayouts and junctions;

consist of driving during the hours of day light and darkness;

be representative of potential risks and the nature of the company’s operation – for example:the assessment may include:

low adhesion driving techniques;

shunting moves relevant to the depot/station at which the Driver is employed;

known potential risk areas such multi-SPADed signals, restricted sighted signals,locations with a history of station overruns etc;

complex signalling areas;

preparation and disposal.

possession working

12.6.2 The final assessment shall include shunting operations and working to and from and withinengineer’s possessions.

The final assessment should also place extra emphasis on:

route knowledge, with questioning carried out to underpin observation of working over theroute, concentrating on risk areas such as multi-SPAD signals, short signal sections, areasof known low adhesion etc;

the application of rules to practical situations including all abnormal driving situations






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permitted by the rules – such as driving with the AWS isolated.

12.7 Deficiencies in competence

12.7.1 Where a candidate’s competence is deficient, additional training should be provided. This may takethe form of on the job coaching for very minor deficiencies. Where more serious deficiencies areidentified, formal training will be provided.

12.7.2 Additional training and assessments to achieve the required standards need only be carried out inthe areas where competence has not been achieved.

12.7.3 The trainee should only be permitted to sit one further assessment of any module unless there isreasonable evidence to indicate that additional training will address the deficiencies identified. Anyfurther assessment should be carried out by an independent assessor designated by theAuthorising Manager.

12.8 Certification

12.8.1 When the Assessor is satisfied that the trainee is competent in all areas relevant to the Driver'swork, the competence standards should be signed off and a certificate of competence initiated forapproval by the Professional Head of Operations or delegated representative.

12.8.2 Prior to signing any certificate of competence, a complete evaluation should be carried out of boththe performance and competence standards achieved by the trainee during the course of theselection, training and assessment process

12.8.3 Providing the Professional Head of Operations or delegated representative is satisfied that allcriteria have been met, the certificate of competence should be endorsed and the person issuedwith a personal identification to undertake safety critical work. The certificate will have an initialvalidity of 12 months.






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13. Basic Driver Training of Recruits With Railway OperationalExperience

13.1 Introduction

13.1.1 For persons with previous railway operating experience, a training needs analysis should becarried out and a training plan formulated. The plan should ensure the recruit acquires, in acontrolled way, the skills and knowledge necessary for competent OTM driving.

13.1.2 Account should be taken of the previous training and operating experience of the recruit andwhether such factors are relevant to the post of the recruit when qualified.

13.1.3 A model structure for training needs analysis is provided in M&EE CoP 0115.

13.2 Drivers who have had a break from train driving duties

Drivers who have had a break from driving duties of not more than 5 years should be subject to atraining needs analysis as detailed in Section 7.1 above.

Recruits with more than five years break from driving duties should undergo the full Basic DriverTraining programme as referred to in Section 6 of this CoP.






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14. Training Records

14.1 Objective

14.1.1 For each individual trainee, records should be kept of the performance and competence standardsachieved within each training module. The records should reflect the trainee’s suitability andcompetence in both theoretical and practical application of the subject and the performanceachieved by the Probationary Driver in the following areas:

a) acceleration & braking

b) speed and distance judgement;

c) application of defensive driving techniques;

d) application of rules to practical situations, including rules infrequently applied and theapplication of rules in abnormal driving situations such as driving with safety equipmentisolated, for example AWS, ATP, TPWS or DRA isolated;

e) awareness and actions taken when approaching potential signalling risks and multi-SPADed signals;

f) ability to deal with conflict/pressure;

g) ability to maintain concentration and alertness and to deal with potential in-cab andexternal distractions

14.2 Periodic Review

14.2.1 The training records should provide an overview of a trainee’s performance and should be subjectto periodic review to determine whether any changes to the training programme are required, and,ultimately, whether the trainee will be allowed to continue and eventually be permitted to take up adriving position.

14.2.2 Records should be reviewed on a regular basis to determine if the training programme requiresadjusting to enable the trainees to gain the necessary experience for achieving the requiredstandard of competence.

14.2.3 Records of an individual’s training should be kept: -

for the duration of the driver’s employment;

for a minimum period of 5 years after the driver’s contract of employment has beenterminated.

14.3 Driving hours

14.3.1 Records should be maintained detailing the practical experience of the Trainee / ProbationaryDriver during the training period. These should record details of the type of OTM’s worked, thetotal number of hours driving experience (including driving time in the hours of darkness) and anysignificant events the trainee/probationary driver experiences.

14.4 Log Books

14.4.1 All trainees must be issued with a logbook(s) to assist with self-development and recording oftraining received and driving conditions experienced. The completion of logbook entries is amandatory requirement for the use of this CoP.






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15. Management of training

15.1 Competence of Trainers

Any person delivering classroom training should be:

• vocationally competent;

• have an understanding of the nature of the company’s operation and risks;

• competent in the area of the trainee’s work role.

Trainers should be either qualified or working towards qualification in nationally recognisedstandards associated with training and assessment.

15.2 Competence of Driving Instructors

Persons involved in instructing drivers in practical driving skills should:

meet the medical fitness and competence requirements as defined in Railway GroupStandard GO/RT3251;

be fully conversant with and assessed as competent on any route and traction on which theyare required to instruct;

have a thorough understanding of all signalling risks, multi-SPADed signals, adhesion blackspots for routes which they are required to train drivers over.

It is advisable Driver Instructors have a minimum of 3 years driving experience post qualifying(Newly Qualified Driver).

15.3 Ratio of trainees to trainer

The following criteria is recommended:

for training based in the training classroom away from the trackside with a trainer assessor -maximum of 12 trainees to one trainer;

for static and practical training on or at the trackside, or in a sidings not under depotprotection with a trainer assessor - maximum of 4 trainees to one trainer;

for practical OTM driving, - maximum of 4 trainees to one trainer;

15.4 Assessment of trainers

All persons involved in driver training should be subject to periodic assessment and monitoring toensure training standards and objectives are being achieved. This should include directobservation of the trainer’s competence in conducting both classroom and practical ‘in cab’ trainingof trainees.






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16. Assessments of competence

16.1 Competence Assessors – Train Driving

Persons required to monitor driving performance and / or assess the competence of drivers, shall:

meet the fitness requirements contained in GO/RT3251

have sufficient current experience as a driver to enable them to manage the range offoreseeable situations which may be encountered by drivers for whom they are responsible

be qualified in the assessment of driver competence.

This will enable them to:

assess driving performance using the standards of competence and assessment processcontained within this document;

identify factors which could impair driving performance and assess the likely effect of suchfactors;

identify and implement appropriate remedial measures to be applied when performancedoes not meet the required standards;

monitor compliance with the relevant standards and instructions.

16.1.2 Before carrying out any assessment during a trainee’s initial qualification period, the assessorshould check the trainee’s training records / Log Book to ascertain whether there are any problemareas that need closer scrutiny. Where there are concerns regarding the trainee’s capabilities theassessor should discuss the individual’s progress with the trainer.

16.2 Sufficiency of assessment

Assessments of competence should have sufficient depth and breadth to enable the assessor tojudge whether the candidate has crossed the dividing line between Probationary Driver and NewlyQualified Driver.

The assessor should be satisfied that the risks arising from lack of experience of the new driverhave been controlled by the trainee having sufficient competence to meet initial work requirements,as shown by the assessment itself, and records of progress leading up to it, including trainingrecords.

16.3 Assessment process

Assessments should be carried out for each stage of training as defined in the Training Syllabus(Appendix A).

When carrying out an assessment on rules and traction, a comprehensive assessment ofunderpinning knowledge should be undertaken against all relevant performance criteria. Particularattention should be applied to rules infrequently applied, emergency skills and procedures, andcommunication skills.






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17. Post Qualifying Monitoring /Assessment of Drivers

17.1 Objective

17.1.1 Newly qualified drivers should be provided with additional support, closely monitored andassessed. This should include:

interviews / planned meetings;

monitoring and assessment;

random Train Data Recorder analysis - where fitted;

additional assessments of underpinning knowledge (e.g. rules and traction and in particularrules infrequently applied.

17.1.2 The evidence collected during the course of these additional assessments should form a part of thefirst re-certification of competence.

17.1.3 Train data recorder and unannounced / unobtrusive monitoring should be carried out in addition toprogrammed assessments.

17.2 Structure

17.2.1 Post qualifying monitoring/assessment should be undertaken on turns of duty that provide themaximum opportunity to assess competence through direct observation.

17.2.2 If the driver has undertaken initial practical driving training outside of the autumn leaf fall season,special attention should be given to provide support and guidance. Where low adhesion drivingtechnique is a factor in safety performance, at least two of the post qualifying assessments shouldbe carried out during the leaf fall season to observe the competence of the individual in their abilityto identify and adjust their driving technique when low rail adhesion conditions are experienced.

17.2.3 The Newly Qualified Driver shall undergo assessments in accordance with Stage 8 of the trainingsyllabus provided in Appendix A. The driver will then move onto a two-year re-certification regime.

17.2.4 Any person who fails to reach the required standard of competence should not be allowed tocontinue normal duties until a further assessment has been carried out and the required standardsof competence achieved. If further training is required, this should be provided.

17.2.5 Drivers not meeting the required standards of competence after further training and assessmentshould not normally be retained on driving duties.






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References

Railway Group Standards

GO/RT 3251 Train Driving

GO/RC 3551 Approved Code of Practice – Train Driving

GO/RC 8067 Personal Track Safety

GO/RT 3260 Competence Management for Safety Critical Work

GE/RT 8000 Rule Book

Codes of Practice

M&EE/CoP 0107 Route Knowledge Training, Assessment and retention – OTM Drivers

M&EE/CoP0115 OTM Driver Task Analysis

Other References

Railways Act 1993 Section 82 defines a train

Railway Safety Principles and Guidance – Guidance on Competence Management andAssurance

RITC Standards of Competence for Driver Standards Managers

Sectional Appendices






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APPENDIX A:

OTM Driver Training Syllabus

This syllabus is constructed of a number of individual, stand alone modules, which may be followed in whole,or in part when undertaking either initial or refresher training of OTM Drivers.

Modules are assigned to each of the 7 stages of Training:

1. Company Induction

2. Introduction to railway operations and the role of the OTM Driver

3. Rules, Regulations and company procedures

4. Principles of Route Knowledge

5. OTM Traction Training

6. OTM Driver Training

7. Practical OTM Driving Experience

Stage 7 includes final assessment

Stage 8 addressed ‘Post Qualifying Monitoring’






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Stage 1 - Company Induction

Objective

This stage provides the first exposure of trainees to the required culture and values of the company. Inaddition to welcoming recruits and outlining the training process to follow, it delivers essential safety briefingsand introduces core behavioral competence requirements.

This stage consists of 3 modules:


Module 2: Company Safety Briefing

Module 3: Hazards in the workplace

Aim

At the end of this stage, trainees will: Be able to describe the role of an Infrastructure Contractor in the wider context of the rail industry

and describe the position of the On Track Machine group within the company.

Be able to describe the role of an On Track Machine Driver; what they do, who they work with, andwho they report to.

Understand the basic structure of the company’s Management Systems; Quality, Safety andCompetency and how each of these systems relate to the OTM Driver.

Understand safety briefing, accident and incident investigation processes and how they can accesskey sources of health and safety information.

Understand their responsibilities under the Health & Safety at Work Act 1974.

Understand company policies relating to safety, quality, alcohol and drugs.

Understand basic principles of first aid, fire fighting and COSHH.

Understand basic track safety through completion of Personal Track Safety (P.T.S.) course.

Training Method

Training is largely classroom based and is formed by a mixture of presentations and interactive discussions.

It is a prerequisite of this stage of training that trainees meet the requirements for Medical Fitness defined inRGS GO/RT 3251 – Train Driving.

Assessment:

Assessment of underpinning knowledge will be achieved through verbal and written Q&A to ensurerecollection of facts and reasoning.






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Stage 1


Outline Format for welcome and company induction:

• Company welcome and explanation of the need for recruitment Welcome and outline of opening session.

The business need that has prompted the recruitment.

The responsibility of the company to provide training for the role.

The responsibility of the trainee to attend the training.

• Company / business unit vision and mission, and the part trainees will play Company mission, and how this translates to business unit objectives should be discussed.

How business objectives translate to individual effort.

• Company Values

• The Role of the On Track Machine Group People.

Scope and Scale of operations.

• The role and responsibilities of the On Track Machine Driver / Operator

• Introduction to Policies: Safety Policy.

Drugs & Alcohol Policy.

Discipline & grievance procedures.

• Overview of 8 stage training programme and what is expected Company Induction.

Introduction to railway operations and Role of OTM Driver.

Rules, regulations and company instructions and SPAD awareness

Principles of Route Knowledge.

OTM Traction training

OTM Driver Training

Practical OTM Driving / Experience

Post Qualifying Monitoring & Assessment

• Training & Competency Portfolio Issue portfolio and explain it’s use.

• Driver files Discuss drivers file and what it will contain.






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• Management of Employee Safety performance.

Human Factors guidelines.

Post incident management and support.

• Safety Management System

Overview of System.

• Competency Management system

• Introduction to Module 2 training






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Stage 1 Company Induction

Module 1: Supporting Documentation

Company Safety Policy

Purpose

• To brief the company Health and Safety policy and;

• Introduce the concept of personal responsibility for the health and safety of self and others.

Method

• Copies of the policy should be issued to trainees who must sign their training logbook toconfirm receipt

• The policy should be discussed to ensure that its content is understood

• A brief overview should be given to explain how or where the discharge of the company safetypolicy may be evidenced. For example:

Reference may be made to the current management safety objectives, especially where these haveparticular relevance to the role of the OTM driver

Reference to company safety and competency management systems and their application

Involvement with industry bodies such as the Rail Safety & Standards Board

Sample Questions on Safety Policy:

Q. Who is responsible for your safety whilst at work?

A. The answer to this question is a combination of the individual and the company.

Q. How does the company discharge it’s safety responsibilities?

A. Through the safety and competency management systems.

Q. What responsibilities do individuals have for Health and Safety?

A. To always act in a safe and responsible manner. Raising any safety concerns to their manager forattention.

Q. What actions can you take if you are concerned about any health and safety issue?

A. Firstly raise it with your manager, and if necessary, invoke the ‘Refusal to Work’ Procedure.






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Stage 1


Refusal to Work Procedure

Purpose

• To provide those in the employ of the company, either directly employed or via a third party,with a mechanism to deal with situations they feel present themselves or others with seriousor imminent danger.

Method

• Copies of the Refusal to Work procedure or briefing note should be provided to trainees

• The importance of the procedure should be stressed and guidance provided as to thecircumstances in which it may be invoked






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Stage 1


Drugs & Alcohol

Purpose

• To explain why a drugs and alcohol policy is in place, brief on what that policy is and describewhat actions may be taken in the event of a breach of the policy.

• To discuss how the requirements of the policy can be practically achieved and explain howcompliance is monitored.

Method

• Copies of the policy should be issued to trainees who must sign their training logbook toconfirm receipt.

• The background to the industry approach to drugs and alcohol should be discussed. Theconcepts of such a policy may be unfamiliar, the reasons for the policy unclear and theactions taken to enforce the policy may appear draconian in a society where alcoholconsumption is a part of everyday life for many.

• The requirement of Group Standard GE/RT8067 & GE/RT8070 should be referenced.

• Random and for cause screening arrangements should be briefed, and the requirements ofCompany drugs and alcohol procedures should be discussed.

• Practical steps to ensure compliance must be discussed. - Not drinking the night before coming on duty;

- Informing your manager of any medication you are taking etc.

• The actions that will be taken following a breach of the policy must be explained.

Supporting material

GE/RT8067 & GE/RT8070

Safety Net 24 video

RSSB Training package on D&A

Company Alcohol & Drugs Policy






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Stage 1


Management Systems – Safety Management System (SMS)

Purpose

• To introduce the company safety management system, the detail of which will be covered instage 3 training.

Method

• Explain that the SMS is a collection of policies, procedures, instructions and forms, whichcollectively make up the company’s documented system for managing the Safety of itsemployees and its operations.

• Explain that the Safety Management system is one of the principle means through which thecompany manages the risks to health and safety of its employees, contractors and membersof the public.

• Describe the constituent parts of the Safety Management System: Contents

Policies

Risk Assessment

Planning

Communication and Training

Substances Hazardous to health (COSHH)

Safe Systems of Work

Construction design and management (CDM)

General Safety management

Track Safety

Work Equipment

Emergency Preparation

Monitoring & measurement

Management Review

• Explain the concepts of Risk Assessment

Method Statements

Setting up a safe system of work

Incident reporting and investigation






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Stage 1


Specially Monitored OTM Driver

Purpose

• To introduce the process by which employees may raise issues of concern to their linemanagers and the process that will be followed if the individual is involved in an operationalincident such as a SPAD.

Method

• Explain that the procedure is essentially pro-active in nature, and is intended to identify issuesthat may lead to incidents.

• Explain the points allocation system.

• Explain the ongoing monitoring arrangements for someone who is classified as a SpeciallyMonitored OTM driver.

• Explain the purpose of the Annual review of safety performance.

Supporting Material

Employee Safety Performance Procedure

Human Factors Guidelines

Company briefing sheet on procedure

H.R. supporting documentation

DCAS systems






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Stage 1


Health & Safety at Work and Sources of Health and Safety Information

Purpose

To explain Employer & Employee responsibilities detailed below and provide guidance on where H&S lawposters are located

HEALTH AND SAFETY LAW

Employers Responsibility Employee Responsibility

Your employer has a duty under law to ensure, so far asreasonably practical, your health, safety and welfare atwork.

Your employer must consult you or your safetyrepresentative on matters relating to your health andsafety at work as stated below.

In general, your employer’s duties include: Making your workplace safe and without risk to

health;

Ensuring plant and machinery are safe and thatsafe systems of work are set and followed

Ensuring articles and substances are moved,stored and used safely

Providing adequate welfare facilities;

Giving you the information, instruction, training andsupervision necessary for your health and safety

Employee legal duties include:

Taking reasonable care for your own healthand safety and that of others who may beaffected by what you do or do not do;

Co-operating with your employer on healthand safety

Correctly using work items provided by youremployer, including personal protectiveequipment, in accordance with training orinstructions; and

Not interfering with or misusing anythingprovided for your health, safety or welfare

Rule Book Concept

Purpose

• In this section, the trainee is introduced to the concept of the ‘Rule Book’ applicable to theinfrastructure, what it is, what it does and the use that a driver / operator will put it to.






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Stage 1

Module 2: Receive company safety briefing

• This module addresses safety-related briefings to ensure safe operation in training at thedepot, near to the track and trains and in the cab. It does not cover detailed training in Rulesand Regulations applicable to train driving. This is covered in Stage 3

• This module is achieved through completion of the Network Rail Track induction programme.

• Completion of this module enables employees commencing work on the permanent wayinfrastructure. The module enables trainees to gain necessary underpinning knowledge ofpermanent way construction, components and work methods, thus enabling them to worksafely and efficiently in the workplace.

A prerequisite to this module is the issue of appropriate PPE

This module addresses the following:

Session Description Approximate Time(Based on 6 hours perday effective trainingtime)

Session – 1 Personal Track Safety Day 1

Personal Track Safety Day 2

7hrs

7hrs

Session – 2 Emergency first aid 4hrs

Session – 3 Basic Fire awareness 3hrs

Session – 4 Manual Handling awareness 6hrs

Session – 5 Basic introduction to Railway Infrastructure 1hrs

Session – 6 Ballast formation and drainage & session learningevaluation

1.5hrs

Session – 7 Ballast formation and drainage

Including, practical session and session learningevaluation

3hrs

4hrs

Session – 8 Track Geometry 2hrs

Session – 9 Safe use of tools and equipment

Including, a practical session and session learningevaluation

1.5hrs

4hrs

Session –12 Track Maintenance

Including, practical session and session learningevaluation

2hrs

5hrs

Session –13 Mechanised Maintenance 1hrs

Session –14 Off Track vegetation 1.5hsr

Session –15 Extremes of weather & session learning evaluation 1hrs

Session –16 Examination – Theory, practical & Verbal 1.5hrs

Training is followed by written, verbal and practical assessment. On successful completion of thecourse, the training provider will issue a Network Rail certificate of achievement, as will additionalcertification for emergency first aid, manual handling, fire training & PTS. Copies of certification willbe retained on the Driver’s file.






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Stage 1

Module 3: Hazards in the Workplace

• This session introduces the concepts of Hazard and Risk in the workplace, the means bywhich hazards are identified and risks managed and the responsibility on individuals to reporthazards and manage personal safety.

• The ‘Railway Safety Case’ and the Risk assessment that support it are introduced

• Procedures for accident and incident reporting are introduced.

Supporting Documents:

1 Railway Safety Case

2 Risk Assessment for the Railway safety Case

3 Safety Management System






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Stage 2 - Introduction to Railway Operations and the Role ofthe OTM Driver

Objective

Trainees should be provided with an appreciation of railway operations and an understanding of the role ofthe OTM driver before embarking on more specific training in rules and traction. This shall include, and placeemphasis on, workplace and driving cab experience to enable the trainee to gain an appreciation of thedriver’s working environment.

Aim

At the end of this stage the trainee will have gained an appreciation of:

• The role of the OTM driver

• Basic interface between OTMs and the railway infrastructure

Training Method:

Combination of classroom and practical

Competency Assessment:

Through verbal and written questioning, the trainee is required to demonstrate a basic understanding of thefollowing:

Personal preparation and fitness for duty

Principles of effective safety critical communication

Operational responsibilities (Driver and Possession working)

The purpose of signals and basic types






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Stage 2

Module 1: Introduction and Recap on Stage 1 Training

Trainees should be reminded of the objectives of Stage 1. Level of understanding should bereviewed through classroom discussion of the following points:

• The role of an Infrastructure Contractor in the wider context of the rail industry.

• The role of an On Track Machine Driver; what they do, who they work with, and who theyreport to.

• The basic structure of the company’s Management Systems; Quality, Safety and Competencyand how each of these systems relate to the OTM Driver.

• Safety briefing, accident and incident investigation processes and how they can access keysources of health and safety information .

• Responsibilities under the Health & Safety at Work Act 1974.

• Policies relating to:

Safety

Quality

Drugs & Alcohol

Discipline & Grievance

• Basic principles of first aid, fire fighting and COSHH.






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Stage 2

Module 2: Introduction to the local working environment

Meeting peers, line managers

Local depot visits

Office management and local methods

Module 3: Personal Preparation

At the end of this module the trainee will demonstrate knowledge of the requirements of an OTM driver inpreparing for duty, and understanding the information required to ensure safe running of OTMs and personalfitness for duty.

Module Assessment:

Assessment will be through observation and questioning of trainees.

• Preparation for duty

Requirements for personal Fitness

Booking on arrangements

Lifestyle management brief

Notice information

• Documentation, Publications and Equipment

Issue / check PPE

Driver equipment

Means by which notices are published – WONs/PONs etc.

Roster arrangements

• Information for safe running of OTMs

Working arrangements

Operational requirements, Pathways etc.

Site method statements

• Walking routes

Walking route manuals

Introduction to local depot arrangements / stabling point

• Safe methods of Working

COSS / DP arrangements

Hazard Directory

Introduction to risk assessments and method statements






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Stage 2

Module 4: Safety Critical Communications

At the end of this module the trainee will have knowledge of the principles of effective safety criticalcommunication and demonstrate the ability to communicate effectively.

Scope

This module includes:

General Responsibilities

Practical exercises and experience, both verbal and written, to include communication protocolsstated in the Rule Book:

Lead Responsibility

Using Phones or Radios

Giving and receiving messages

Phrases to use

Using the phonetic alphabet

Messages containing numbers

A level of knowledge and competence, as prescribed in the GE/RC8546

Understanding of the importance and consequences of miscommunications to enable each personto communicate clearly

The risks arising from complacency and familiarity

Communications in normal, abnormal, degraded and emergency modes

Communications in adverse environmental conditions

Communications relating to incidents

Module Assessment:

Assessment will be through observation and questioning based on simulation of communication protocols.An example of a competence assessment tool is provided in GE/RC8546 appendix 2.

Sources of Information:

GE/RT8000 Module G1

RSSB Safety Critical Communications / publications

SPAD Web

Safety Critical Communications Website

Network Rail Website (Safety Critical Communications – Source Material)

RSSB Interactive course

GE/RC8546






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Stage 2

Module 5: Introduction to Railway Infrastructure

At the end of this module the trainee will have a basic understanding of signalling and lineside features. Thetrainee will be required to demonstrate a basic understanding of the role of signalling and what is meant bythe terms ‘lineside features and equipment’.

This is foundation for rules training, addressed in Stage 3.

Module Assessment:


a) Basic Signalling Systems and Principles

Purpose of signalling systems

Introduction to different signal types (Colour light / Semaphore)

Role of the signaller

b) Line side features and equipment

Route features:

stations,

depots / yards / sidings,

junctions / points /crossings,

signal boxes / bridges / tunnels,

Lineside signage,

Speed Boards (PSRs/TSRs/ESRs),

Limited Clearance Boards,

CSR boards,

Level crossings,

Whistle Boards,

Pedestrian signs,

Level Crossing Actuators,

Power supplies,

OHL,

Third Rail,

Fourth Rail,

c) Site visits to a signal box/signalling center

Practical introduction to the role of the signaller.






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Stage 2

Module 6: Introduction to OTMs and the drivers role

At the end of this module the trainee will have a basic understanding of the different types of On-TrackMachines and the principles of their operation. The trainee will be required to demonstrate an understandingof OTM types and key safety features of the driver’s role.

This is foundation for traction training, addressed in Stage 5 training.

Module Assessment:


Scope:

Familiarisation of the cab environment

Familiarisation with different types of On Track Machine

Key safety features of driving cab

Operational characteristics

Areas of responsibility

Possession working – Driver / Signaller / PICOP / ES / Machine Controller

Source information:

GE/RT8000 Rule Book

Company procedures

Videos / DVDs and presentations

Accompanied visit to OTMs

Site / Depot Visits

Scheduled Cab ride(s)






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Stage 3 - Rules, Regulations, Company Instructions andSPAD Awareness

Objective

The trainee shall obtain knowledge of all relevant rules, operating instructions and procedures of theiremployer and the infrastructure over which the driver will operate. This includes signalling systems, OTMworking and dispatch arrangements, operating instructions necessary for the safe working of OTMs / Trainsduring normal, abnormal and out-of-course/emergency situations, SPAD awareness and defensive drivingtechniques. It should also provide trainees with additional rules training in elements of competenceapplicable to the specific depots or locations at which the trainee will be required to work, when qualified.

Aim:

At the end of this stage the trainee will have gained an in depth knowledge of:

• Rules and regulations specifically related to the duties of OTM train driving contained in: GE/RT8000 Rule Book

Sectional Appendices

Operational Notices

Company Professional Driving Policy

an appreciation of SPAD awareness and defensive driving techniques.

Training Method:

Combination of classroom and simulation exercises


Through verbal and written questioning, the trainee is required to demonstrate a thorough understanding ofthe following:

• Rules, regulations and instructions relevant to train driving including defensive drivingtechniques and SPAD awareness






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Stage 3

Module 1: Rule Book training

Aim:

At the end of this module the trainee will have a detailed understanding of the rules and regulations specifiedin GE/RT8000 that are required when undertaking the duties of an OTM driver.

This training module is a foundation for all further stages of training.

Module Assessment:

Assessment of competence in this module will be through completion of written / verbal examination ofunderpinning knowledge.

Note: course work produced during training may be used as supporting evidence for the above.

Rule Book

The Rule Book modules applicable to the OTM driver are specified as follows:

Module AC2 - AC Electrified Lines Working on or near to the OLE

Module AC3 - AC Electrified Lines working of trains

Module G1 - General Safety Responsibilities

Module G2 - Personal Safety when Walking on or near the line or when on the lineside

Module T3 - Possession of the line for engineering work

Module T4 - Possession of a siding for engineering work

Module T9 - Loading and unloading rail vehicles during engineering work

Module T10 - Protecting personnel when working on rail vehicles and in sidings

Module T11 - Movement of engineering trains under T3 Arrangements

Module TW1 - Preparation and movement of trains

Module TW5 - Preparation and movement of trains – defective or isolated vehicles and ontrain equipment

Module TW6 - Working single lines with or without a train staff or token

Module TW7 - Wrong-direction movements

Module TW8 - Level crossings

Module S1 - Signals and indicators controlling train movements

Module S2 - Observing and obeying fixed signals






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Module S3 - Train warning systems (AWS and TPWS) and reporting signalling failuresand irregularities

Module S4 - Trains or shunting movements detained, or vehicles left, on running lines

Module S5 - Passing a signal at danger

Module SS2 - Shunting

Module SP - Speeds

Module M1 - Train stopped by train accident, fire or accidental division

Module M2 - Train Stopped by Train Failure

Module M4 - Floods and snow

Module M5 - Managing accidents

Module OTM - Working of On Track Machines (OTM) outside a possession

Module OTP - On Track Plant

Module P1 - Single Line Working

Module P2 - Working single and bi-directional lines by Pilotman

Module AM - Amendment Module

Additional modules may be used to assist in training.






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Stage 3

Module 2: SPAD awareness

Aim:

At the end of this module the trainee will have a clear understanding of SPAD causation and prevention.

Training in SPAD awareness forms a critical part of all other key areas of driver training.

Module Assessment:

Assessment of competence in this module will be through written / verbal examination of underpinningknowledge.

Scope:

Causes and risks of SPADs and actions that a driver can take to prevent them;

SPAD Categorisation and summary of underlying causes;

Multi SPAD and high risk signals – sources of information;

Review of SPADed signals applicable to the company. Reasons for SPADs at these signals plusupdate on actions taken and techniques drivers can take to prevent a further incident occurring;

SPAD statistics for the company;

Review of recent case studies of SPADs– particularly those where driver inexperience was a factor;

Managing alertness and life style education;

Driver Reminder Appliance (DRA) and the risks of overuse and non-use;

Actions to take following a SPAD;

Include relevant videos on SPADs, defensive driving and use of DRA.

Source Information:

National SPAD Focus Group (NSFG)

www.SPADweb.com

Red Series Videos

Computer based presentation






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Stage 3

Module 3: Introduction to ‘Professional Driving’

Aim:

At the end of this module the trainee will have an understanding of the principles of Professional Driving andDefensive Driving techniques for OTM driving.

This session provides a theoretical introduction to safe driving principles.

Module Assessment:

Assessment of competence in this module will be through written / verbal examination of underpinningknowledge.

Scope:

Bringing an OTM into Service

Driving Within Yards Depots and Sidings

Shunting

Approaching Buffer stops and Stationary Vehicles

Moving from a Standing Start

Driving Technique – assessing situations and taking appropriate action

Working within Possessions

When Stopped at a Red Signal

Low Rail Adhesion & Reporting of

Communication

Route Knowledge

Being Conducted

Cab Discipline / Use of Mobile Phones

Concentration and Alertness

Human Factors and Fitness

This list is not exhaustive

Sources of Information

M&EE Code of Practice 0113 – OTM Professional Driving Policy

Company Professional Driving Policy

M&EE Professional Driving Video

RSSB Special Topic Reports / Information

www.spadweb.com

Professional driving video






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Stage 4 – Principles of Route Knowledge

Objective:

To provide trainee drivers with the necessary competence in the physical route characteristics andinstructions important to OTM driving, to include location of stations and signals, gradients, speedrestrictions, location of points, crossings, junctions and associated route direction and other key aspects oftrack layout. This includes signalling risks and the locations of multi-SPADed signals.

This module provides an appreciation of the essential elements of route features and characteristics asdefined by Group Standards and the risks associated with these.

Aim:

At the end of this stage, the trainee will demonstrate the ability to identify route characteristics and risks.

Training Method:

Combination of classroom and practical

Sources of Information

Weekly / Periodic Operating Notices

Rule Book

Local Information / Hazard Directory

Videos / DVDs / CDs

Multi SPAD Signal List / SPADWEB

Photographs / Diagrams - Signal types, Track layouts

Sectional Appendices / Signalling Diagrams

Case studies from industry investigations

M&EE Code of Practice 0107 – Route Knowledge – Training retention and assessment

This list is not exhaustive


Through verbal and written questioning, the trainee is required to demonstrate an understanding of thefollowing:

Route Characteristics

Route risks

Source Material

Produce a route diagram.

An appreciation of the essential elements of route features as defined by Group Standards and therisks associated with these.






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Stage 4

Module 1: Route Characteristics

Aim:

The objective of this module is to provide the Trainee with sufficient underpinning knowledge to enablehim/her to describe and understand the physical characteristics of railway infrastructure.

Module Assessment:


Scope:

Trainees are introduced to basic features of the infrastructure.

Route features

Stations, depots, yards, sidings, junctions, points, crossings, signal boxes, bridges, tunnels, names ofrunning lines, direction of travel of running lines, gradients (in relation to the type(s) of OTM to be driven) andtermination/limiting points of movements.

Lineside signage:

Location and meaning of lineside signs applicable to the safe operation of trains

Permitted speed

Permitted line speed restrictions for all operating and degraded condition and reversible working

Level crossings:

Location and type of level crossings

Power supplies

Third Rail & Overhead Line Equipment

Communication

Communication types

Operating restrictions

Limited clearances / Signal Post telephones

Local working instructions

Areas where they might apply, stabling point assessments, sectional appendix etc.

Authorised walking routes: knowledge of authorised walking routes

NR Hazard directory

Train protection systems

TPWS, AWS, ATP,

Train radio systems

Areas: NRN, RETB, CSR, GSMR

Signal types

The signalling systems in use, including the position, sighting and function of signals and associated routeindicators






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Stage 4Module 2: Route Risks

Aim:

The objective of this module is to provide the Trainee with the ability to identify specific route risks.

Module Assessment:Assessment will be through observation and questioning of trainees.

Scope:

Route Risks (Infrastructure)An appreciation of the risks associated with the physical features of a route

Complex signalling or track layout.Approaches to major stations, terminals and junctions etc.

Locations where there is a significant reduction in line speedSectional appendices

Bi-directional working, reversible working or multi-track lines that do not run parallel to eachother.Sectional appendices

Potential lineside distractions.Local knowledge, Local instructions, platforms depots, yards and booking on points;

Locations or routes not fitted with AWSTermination and commencement points. Sectional Appendices.

Commencement and termination points of bi-directional workingSectional appendices, route diagrams, etc.

Locations or routes where there is a mixture of colour light and semaphore signalling;Route diagrams, etc.

Route Risks (Sighting the signal) Read Through / Read Across

Signals that are known to sometimes be affected by bright sunlight

Signals which are multi-SPADed,

Signal gantries where there is history of SPADs

Signals which are positioned on the right hand side of the running line in the direction of travel

Locations where the signal is not in view where there is a potential for starting against the signal atdanger (SASSPAD)

Locations where the signalling changes from 4 aspect to 3 aspect

Other route risks (Environmental) Low adhesion sites

Low Adhesion group, Industry good practice, Low adhesion areas, climatic factors M&EE AdhesionVideo

Potential differences between driving over the route in daylight and in darknessLocating route features, sighting signals

Platform, tunnel, or street lighting which may affect the identification of braking pointsLocating route features, sighting signals

Communication black spots (radio, telephone and bleeper etc.)Raise awareness and reporting requirements






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Stage 5 - OTM Traction Training

Objective:

The objective of this stage is to ensure that trainees become familiar with the component parts of the OTM /Train, and is able to undertake pre start checks.

Aim:

At the end of this session the trainee will be able to:

Identify the location, function of equipment and controls

Function of safety systems including procedures and instructions when isolated or defective

OTM Preparation and disposal

Basic fault identification and rectification within the ‘drivers’ remit

Complete daily and weekly maintenance records

Training Method:

Training will consist of practical demonstration of controls and equipment functions.

Method of Assessment:

Assessment will be through direct observation, verbal and written questioning of trainees and review ofexperience gained as recorded in the trainee’s logbook.

Sources of information:

Machine Maintenance / Operating training manuals

Company Procedures

Maintenance records / Fault books






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Stage 5

Module 1 – Prepare OTM / Train for Service

Aim:

To give the trainee practical experience in the procedure used to establish the fitness of an OTM/Train toenter service.

Assessment:


Scope:

Check for ‘not to be moved’ indications

Perform external preparation checks of OTM(s)

Check all Safety Chains, “D” shackles and Locking Devices

Perform internal preparation checks of OTM(s)

Review fault book status for any reportable faults

Identify and rectify any driver repairable faults.

Check safety/emergency equipment

Carry out OTM start procedure

Check driving cab safety related functions and where applicable their operation (TPWS, AWS, DSD,etc)

Respond to systems alerts

Establish fire equipment is fit for purpose

Check OTM gauges for correct indications

Conduct functional test of braking system(s) and test siren warning system

Set Exterior lights (headlights/taillights)

Set reminder appliances if required (DRA etc.)

Conduct Brake systems test.

Set up cab radio and test system

Enter personal ID into OTM/Train monitoring system as required.

Report fault (rendering OTMs unfit for service.

Confirm OTM safe to move, and enter service.

Establish correct driving cab for the movement.






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Stage 5

Module 2 – Shunt, Couple, and Uncouple OTMs within Depots / Yards

Aim:

To give the trainee practical experience in operating the driving controls utilising appropriate rules applicableto the movement of OTMs / Trains within Depot / Yard confines including coupling and uncoupling duties.

Assessment:

Assessment will be through direct observation and verbal questioning of trainees.

Scope:

Reach a clear understanding prior to any movement commencing.

Observe and respond to all signals (fixed, audible or hand signals)

Before moving, warn others that movement is about to commence

When moving OTM(s) within a depot, yard or siding identify and comply with the siding/yardsprotection arrangements.

Move the OTM(s) in accordance with the siding/yards local method of working instructions

Operate warning horn as appropriate

Check all hand points before moving over them

When personally operating hand points check the point blades before rejoining the cab

Change cabs using the correct methods

Ensure when coupling two OTMs together to stop at the correct position prior to coupling up

Couple OTMs to other vehicles ensuring correct coupling up procedures are applied

Conduct brake continuity test following attachment

Ensure OTM handbrakes are released prior to initial movement






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Stage 6 – OTM DRIVER TRAINING

Objective:

At the end of this section the trainee will have the essential technical skills and competence necessary todrive a basic form of OTM safely and efficiently. This includes understanding the characteristics of OTMdriving, braking types, judging speed and distance, driving during all environmental conditions such as lowadhesion, permissive working and driving during the hours of darkness.

On successful completion of this module the trainee will be classed as a ‘Probationary Driver’ and will beissued with a certificate of competence’.

Aim:

At the end of this session the trainee will be able to:

Exit depot / sidings for open line running

Drive OTMs / Trains in Service utilising defensive driving techniques during daylight and in darkness

Handling OTMs in low rail adhesion conditions

Enter and Exit possessions

Drive under degraded and emergency situations

Demonstrate ability to route learn

Use safety critical communications protocols

Respond to failures of train borne safety equipment

Disposal of machine and booking off duty

And be able to demonstrate all of the above in accordance with the company’s Professional Driving Policy.

Training Method:

Training may consist of classroom instruction, practical driving and simulation. All training received in thisstage will be under the guidance of a competent Driving Instructor / Trainer.

Method of Assessment:

Assessment will be through either direct observation, verbal and written questioning of trainees andreview of experience gained as recorded in the trainee’s records / logbook.






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Stage 6

Module 1 – Drive OTMs / Trains In Service

Aim:

To give the trainee practical experience in operating the driving controls utilising appropriate rules andfollowing company policies (Professional Driving) applicable to the movement of OTMs / Trains on OpenLines of railway.

Assessment:

Assessment will be through either direct observation, verbal questioning of trainees and review ofexperience gained as recorded in the trainee’s records / logbook.

Note:

In constructing the format and duration of training, the trainee must be exposed to driving during the hours ofdarkness.

Scope:

Communication with signaller.

Departure - Check signal controlling movement cleared.

Ensure correct signal (and indication if applicable) is cleared for intended route.

Recheck signal controlling move (SASSPAD)

Control the speed of the OTM within permitted speed range.

Accelerate with due regard to rail / environmental conditions.

Respond to persons on or about the running lines.

Sound Warning horn as required.

Monitor In Cab gauges and instruments.

Monitor on Board OTM fault panel.

Ensure In Cab warnings and Indications are acknowledged and acted upon.

Perform Running Brake tests correctly, in accord with the Rule Book instructions.

OTM is driven in accordance with Company Driving Policy.

Recognises and understands the meaning of signalling systems.

Signal Aspects and their meaning are observed and acted upon.

Running under continuous cautionary signals remains focused on the task.

Ensures correct communication is adopted when stopped at a signal or out of course.

Passing trains are observed and any operating irregularities are acted upon.

Check information on trackside boards against existing route knowledge.

Respond to information on trackside boards (if required).

Understanding and correct response to rules and regulations relating to the effects of emergencyand temporary speed restrictions.

Maintain vigilance on approach to level crossings, tunnels, through stations, speed restrictions,complex junctions & signal layouts.

Monitor, operate and respond to cab equipment correctly. (Master switch, power controller, brakecontroller etc.).






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Approach speed and braking when stopping is in accordance with the Company’s Driving policy.

Control speed of OTM along Platform / Sidings (TPWS).

Stop OTM at correct location in sidings.

OTM is stopped in accordance with the Company’s Driving policy at Stop Signals.

OTM brakes are applied in the approved manner when required to remain stationary.

Avoids unnecessary environmental pollution (Shuts down engine when necessary).

Correctly operate Drivers Safety / Vigilance Device.

Correctly responds to AWS indications received.

Correctly responds to TPWS indications received.

Correct operation of Driver Reminder Appliance (DRA).

Select or respond to appropriate in-cab communication apparatus.

Correctly operate track/lineside communication equipment.

Communicate effectively and unambiguously, confirming identity of other party and content of allreceived instructions, including the use of phonetic alphabet.

If relieved mid section – advised of previous signal aspect.

If relieved mid section – advised if within a restricted speed area (i.e. ESR).

In an emergency, stop and secure train at a suitable location (fire on OTM etc.).

Conduct emergency communications procedures with all relevant parties.

Suitable emergency protection is provided in the event of an accident/derailment etc.

Report consequence of a fault to signaller and act in accordance with signallers instructions.

Perform fault identification and rectification procedures.

Respond to personnel working on the track.

Recognise the role of a Route Conductor when acting as one or being conducted by one.






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Stage 6

Module 2 – Low rail adhesion conditions

Aim:

To provide the trainee with an appreciation of train handling risks associated with poor railhead conditionsand the driving techniques to be employed.

Assessment:

Assessment will be through either direct observation where practicable, verbal questioning of trainees andreview of any experience gained as recorded in the trainee’s records / logbook.

Scope:

Accelerating from a standing start

Application of frequent running brake tests

Braking techniques for low rail adhesion

Approaches to signals

Maintaining control when experiencing wheel slip/slide

Obtaining information on railhead conditions

Reporting poor railhead conditions

Module 3 – Possession Working

Aim:

To give the trainee practical experience of the rules, regulations and communication protocols applicable topossession working.

Assessment:

Assessment will be through direct observation, verbal questioning of trainees and review of experiencegained as recorded in the trainee’s records / logbook.

Scope:

Identify the areas within a T3 possession and perform work into, through and exiting these areas

Recognise the limits of authority (PICOP, COSS, ES etc)

Recognise and understands the procedure for propelling movements in a possession

Recognise and understands the meaning of “Multiple Work Sites” within a possession






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Stage 6

Module 4 – Emergency & ‘out of course’ situations

Aim:

Throughout this module the trainee’s will be able to demonstrate knowledge of the correct application ofrules, regulations and company instructions learnt in previous stages of training relating to Emergency & ‘Outof Course’ situations.

Method:

During the period of OTM Driver Training, the Driver Instructor shall ensure, through instruction, questioningor practical application (where practicable) that the trainee has the capability of applying the correct Rules,Regulations and company instructions relating to Emergency & ‘Out of Course’ situations. The scope of thisactivity is as defined below.

Assessment:

Assessment will be through direct observation, verbal / written questioning of trainees and review ofexperience gained as recorded in the trainee’s records / log book.

Scope:

Driving within a Permissive Working environment.

Operate OTM within changed operational constraints, Informing signalling staff /other relevantpersonnel of the circumstances promptly and accurately.

Identify and perform assistance procedures if required to assist a failed OTM (from Front or Rear).

Respond to signalling systems irregularities.

Respond to ‘rough riding’ track.

Identify and respond to operational conditions when faced with EXCEPTIONAL rail or weatherconditions.

Respond to damage of the infrastructure or trackside equipment.

Respond to radio broadcasts and acknowledge when necessary.

Respond to obstructions on the line.

Respond to dangerous goods incidents and hazardous on-line situations.

Respond to detonator explosion (and/or presence of hand signaller).

Respond to evidence of trespass, vandalism or suspicious persons or objects on or about the line.

Respond to being incorrectly signaled (i.e. wrongly routed).

Recognise when to use the warning horn (train in distress, persons on or about the line etc).

Identify and report any Signals obstructed by structures or foliage etc.

Operate and apply emergency equipment (TC Clips, detonators etc).

Pass signals at danger with signaller's authority.

Identify and pass a signal at danger within the Drivers own authority.

Recognise the action to take when passing a signal at danger without authority.

Recognise the action to take whilst single line working in the right direction is in operation.

Recognise the action to take whilst single line working in the wrong direction is in operation.

Recognise the action to take whilst being accompanied by a Pilotman on a Single line.

Recognise the action to take whilst Temporary Block working is in operation.

Recognise the action to take whilst examining the line.

Complete any written reports following an incident, including, trainee log book etc.






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Stage 6

Module 5 – Respond to failures of train borne safety equipment

Aim:

To provide the trainee with practical experience in responding to failures of train borne safety equipment inaccordance with the rule book and the company’s contingency plan.

Method:

During the period of OTM Driver Training, the Driver Instructor shall ensure that the trainee is conversantwith Rules, Regulations and company instructions relating to the response to failures of train borne safetyequipment. The scope of this activity is as defined below.

Assessment:

Assessment will be by verbal / written questioning of trainees and review of applicable experience gained asrecorded in the trainees log book.

Scope:

Respond to vandalism resulting in damage to windscreen, track or trackside equipment.

Perform the appropriate OTM examination & reporting procedure when stopped out of course.

Perform the appropriate action when dealing with an AWS/TPWS fault or failure.

Perform the appropriate action when dealing with a TPWS intervention.

Comply with the requirements in respect to the isolation of train safety equipment.

Perform functional tests on rectified faults.

Identify and perform assistance procedures if OTM is unable to continue.

Log any defect(s) reporting any remedial actions taken.

Module 6 – Disposal of OTM and booking off duty

Aim:

To familiarise the trainee with the rules, regulations and company procedure for the correct disposal ofOTMs/Trains on completion of duty.

Assessment:

Assessment will be through direct observation, verbal / written questioning of trainees and review ofexperience gained as recorded in the trainee’s records / logbook.

Scope:

Identify location where the OTM to be disposed.

OTM disposed in a safe and proper manner

OTM is secure before any detaching

Correct shutdown procedure applied

All systems checked for faults before leaving cab and any defect entered into the defect book






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Stage 7 – Practical OTM Driving/experienceObjective:

This section enables the Probationary driver to gain experience in practical train handling in the full range ofdriving conditions under the guidance of a ‘Mentor Driver’.

At the end of this section the trainee will pass a Final OTM Driving Assessment before being deemed a‘Newly Qualified Driver’. Following which, the driver will enter the post qualifying assessment cycle.It is the responsibility of the Probationary Driver to record driving experiences in their “Practical DrivingExperience Logbook” which the Mentor Driver must countersign. The Mentor Driver is also responsible forbringing to the attention of the Driver Standards Manager (or equivalent), any areas of concern in relation tothe Probationary Driver.

The Driver Standards Manager (or equivalent) shall monitor this stage to ensure satisfactory progress isbeing made.

Aim:

At the end of this stage, the Probationary Driver will have gained experience in the activities listed below andwill have created a record of these in their “Practical Driving Experience Logbook”

Preparation and bringing OTM into service

Handover and Disposal of OTM

Static Brake Testing (Module TW1)

Running brake test (Module TW1)

Defect rectification and reporting

Defective On Train Equipment (Module TW5)

Shunting, coupling and yard movements (Module SS)

Responding to cautionary signals (Module S1)

Contact with Signaller (Module TW1)

Use of Communication Protocols (Module G1)

Responding to abnormal working situations (Module M2)

Temp Block Working (Module S5)

Examination on the line (Module TW1)

Passing Signals at Danger (Module S5)

Single Line Working (Module P1 & P2)

Possession Working (Module T3)

Reporting of Signal Failure and irregularities (Module S3)

Temporary / Emergency Speed Restrictions (Module SP)

Wrong direction movement/s (Module TW 7)

Trains detained on a running line (Module S4)

TPWS Temporary Isolation Protocol (Module S5)

Poor Rail Adhesion Conditions – Driving and reporting

Driving During Darkness and Daylight hours

Use of Cab Secure / NRN Radio equipment (Module TW1)

Level Crossings (Module TW8)

Application of DRA (Module TW1)






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FINAL OTM DRIVING ASSESSMENT

Following completion of the Driver Training programme, a full competence assessment must be undertaken.The assessment should:

be carried out over the route(s) with which the Probationary Driver is conversant and will operateover when qualified. As far as practicable, this should include complex signalling layouts andjunctions;

consist of driving during the hours of day light and darkness;

be representative of potential risks and the nature of the company’s operation – for example: theassessment may include:

low adhesion driving techniques;

shunting moves relevant to the depot/station at which the Driver is employed;

known potential risk areas such multi-SPADed signals, restricted sighted signals, locations with ahistory of station overruns etc;

complex signalling areas;

preparation and disposal.

The final assessment shall include shunting operations and working to and from and within engineer’spossessions.

The final assessment should also place extra emphasis on:

route knowledge, with questioning carried out to underpin observation of working over the route,concentrating on risk areas such as multi-SPAD signals, short signal sections, areas of known lowadhesion etc;

the application of rules to practical situations including all abnormal driving situations permitted bythe rules – such as driving with the AWS isolated.

Deficiencies in competence

Where a candidate’s competence is deficient, additional training should be provided. This may take the formof on the job coaching for very minor deficiencies. Where more serious deficiencies are identified, formaltraining will be provided.

Additional training and assessments to achieve the required standards need only be carried out in the areaswhere competence has not been achieved.

The trainee should only be permitted to sit one further assessment of any module unless there is reasonableevidence to indicate that additional training will address the deficiencies identified. Any further assessmentshould be carried out by an independent assessor designated by the Authorising Manager.

Certification

When the Assessor is satisfied that the trainee is competent in all areas relevant to the Driver's work, thecompetence standards should be signed off and a certificate of competence initiated for approval by theProfessional Head of Operations or delegated representative.

Prior to signing any certificate of competence, a complete evaluation should be carried out of both theperformance and competence standards achieved by the trainee during the course of the selection, trainingand assessment process

Providing the Professional Head of Operations or delegated representative is satisfied that all criteria havebeen met, the certificate of competence should be endorsed and the person issued with a personalidentification to undertake safety critical work. The certificate will have an initial validity of 12 months.






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Stage 8 - Post Qualifying Monitoring & Assessment

To monitor the newly qualified driver over the first two years post qualification to ensure that any deficienciesin driving performance due to lack of experience are identified and acted upon.

Method:

Competency assessments detailed below are conducted over the two-year post qualification period.

Type of Assessment Time scale

Interviews/ planned meetings During the first month undertaking driving duties

Practical Assessment 1st assessment within one month

Practical Assessment 2nd assessment between the 1st and 2nd month

Practical Assessment 3rd assessment between the 2nd and 4th month

Practical Assessment 4th assessment in the 6th month


Full Competence Assessment 6th assessment in the 12th month


Full Competence Assessment Final assessment within the 24th month.

On successful completion of the post qualifying assessments, the trainee will be certified as a Fully QualifiedDriver and enters the company specific competence management regime.
