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ATOC
Association of Train Operating Companies
Synopsis
Submitted by
Steve Bence
Director, Production Support, ATOC
Authorised by
David Franks
Chairman, ATOC Train Operations Scheme Council
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Contents
Part A
Issue Record 3
Responsibilities 3
Explanatory Note 3
Guidance Note Status 3
Supply 3
Part B
1 Purpose 4
2 Scope 4
3 Definitions 4
4 Recording of Conversations 4
5 Management of Tapes 5
6 Copying of Tapes 5
7 Confidentiality 5
8 Procedure for Routine Monitoring 6
9 Procedure for Post Incident/Accident Monitoring 7
10 Security of Tapes/DVDs used for Post Incident/Accident Monitoring 8
Appendices
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Part A
Issue Record
Responsibilities
Explanatory Note
ATOC produces ATOC Guidance Notes for the information of its members.
ATOC is not a regulatory body and compliance with ATOC Guidance Notes is
not mandatory.
ATOC Guidance Notes are intended to reflect good practice. ATOC members
are recommended to evaluate the guidance against their own arrangements in
a structured and systematic way. Some parts of the guidance may not be
appropriate to their operations. It is recommended that this process of
evaluation and any subsequent decision to adopt (or not to adopt) elements of
the guidance should be documented.
Supply
Part B
1. Purpose
2. Scope
3. Definitions
Authorised Manager
Any person identified by the Train Operator as authorised to monitor
conversations.
Tape
Tape cassettes, DVDs, magnetic discs and other similar storage media unless
specifically indicated.
4. Recording of
Conversations
In the event that the normal Control Centre is temporarily unavailable, for
example due to an evacuation or planned building work, Train Operators
should consider and document any alternative arrangements needed in
respect of voice monitoring.
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5. Management of
Tapes
All tapes must be retained for a minimum period of 31 days (or as otherwise
agreed by the Train Operator) before being re-used.
6. Copying of Tapes
The equipment must be capable of recording the permanent copy at the same
time as the retrospective listening activity or on-going recording activity is
taking place.
7. Confidentiality
Train Operators must define and adhere to a protocol for the playing back of
tapes (including copies) and reviewing of transcripts. This must include
specific reference to ensuring appropriate levels of confidentiality.
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8. Procedure for
Routine Monitoring
8.1 Overview
8.2 Frequency
The Authorised Manager must ensure that at least once per 4 week period a
tape is withdrawn at random and that recorded conversations are monitored to
ascertain the level of compliance with the laid down communications
discipline.
8.3.1 Train Operators must identify and document those groups of staff for
whom conversations with Control Centre staff are to be monitored
(e.g. train crew, shunters, station staff, fitters, signallers, electrical
control, Railtrack, on call staff, others, etc.). Where possible,
monitoring should include conversations with each of these.
8.3.2 The Authorised Manager must ensure the following points are
complied with within this procedure :
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8.6.1 A copy of the form must be placed on the competence assessment file
of the individual concerned.
8.6.3 In all cases where a safety critical member of staff is involved, then the
findings of the audit must be incorporated into the safety critical work
re-assessments.
8.7.2 Tapes must be labelled with the same number as that on the forms to
which they apply.
8.7.3 Follow up actions appropriate to the severity of the irregularity and the
group of staff concerned must be identified.
9. Procedure for
Post Incident/Accident
Monitoring
9.1.1 The Train Operator must define and document the circumstances
under which a tape is to be withdrawn for the purpose of identification,
collection and preservation of information.
9.1.2 The Train Operator Duty Manager must be asked to withdraw the tape
that was recording at the time of the alleged incident as soon as
possible for use as a source of evidence.
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This tape must be kept in a secure location until all enquires have been
completed and it is known that it will not be required for legal proceedings -
suggested period is six years.
9.3.1 The person carrying out the reviewing of the tape must not be the
person who is involved in the alleged incident.
9.3.2 The example form provided in Appendix A has been designed in such
a way that it may also be used for post incident/accident monitoring -
see Appendix B.
10.1.1 The Train Operator must identify and document those individuals
authorised to take ownership of tapes used for post incident/accident
monitoring.
10.1.3 The person in receipt of the copied tape (see 10.1.2 above) must at no
time leave it unattended unless it is under lock and key and must be
handed on to one of the individual authorised to take ownership (see
10.1.1 above) provided that the individual concerned is
10.1.4 British Transport Police or other statutory bodies may take possession
of the tape. Where this is the case, the name, company position and
signature of any such person taking receipt of the tape must be
obtained prior to its release.
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Assessor's name
Location
Date of communication
Date of assessment
Activity discussed
Lead communicator
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their location?
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Please summarise how you felt about the communication e.g. do you feel the person communicated effectively
and had a flexible communication style?
Signed : _________________________________________________________________________
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General
The monitoring form is designed to provide a structured approach to measuring the content of
communications. It provides a framework by which the communications can be assessed either proactively,
(e.g. as part of the assessment process) or reactively as part of the incident and accident investigation
process. The method for each of these processes is slightly different. The form has been developed in four
stages. The first contains preliminary information on the assessment and other background information. The
second section examines the commencement of the communication, the third looks at the exchange that took
place and the fourth examines the confirmation of understanding and the closing of the communication. The
form is intentionally structured to follow the logical flow of a communication exchange. These guidance notes
first look at the two different ways in which the form can be used, pro-actively and re-actively, and then looks at
the each section of the form in more detail.
Pro-active monitoring
Monitoring can either take place real-time within the Control Office, or by analysing voice tapes. If monitoring is
carried out real-time then it is preferable that the assessor sits in a place that is not conspicuous as having
somebody watching and listening intently can have a performance effect on the person communicating. This
audience effect will be reduced if the assessor is not so visible. This is a problem which does not exist if voice
tapes are analysed retrospectively. This means that the communication will be more representative of the
reality of communications. This other advantage of using voice tapes is that the tapes can be re-wound and re-
examined to verify information or content.
Re-active monitoring
Re-active monitoring will take place after an incident or accident has occurred and in this case, it is voice tapes
that will be used each time. When analysing post-incident data, it is important that the point at which the
communications failure occurred that lead to the incident is noted. Other factors that surrounded the
communications, for example, poor supporting information such as the WON should also be identified. This
helps to put the communication in context.
Scoring
There are four choices of categories from which to score the performance. Yes and No are self explanatory but
if Sometimes box is ticked it is useful to also add a percentage. This means that the occurrence of these
factors can be noted. N/A (Not applicable) should be ticked when, for example, no numbers were included in
the communications rather than 'No'.
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The Date of communication and the Date of assessment may differ, depending on the type of
assessment procedure used.
Activity discussed refers to the point of the conversation for example reporting a defective unit or
issuing of a special stop order.
Lead communicator is the person who should lead the communications, as stated in Section A of the
rule book.
Parties communicated with refers to the other person involved in the communication, other than the
person being assessed.
3.1 Use your own experience and expectations to decide if the person communicates clearly and
concisely. There is no hard and fast measure that can be used for this.
3.2 This refers to whether the person used the phonetic alphabet at all given opportunities during the
communication, for example, on signal identifiers.
3.4 The standard terms refer to those terms that are stated in Section A of the rule book.
3.5 Ambiguous wording refers to terminology or words that have two different meanings that are
used but that may not be understood by all. You are looking to make sure that both parties understood
all of these words.
3.6 The same as above ensure any jargon was fully explained and understood.
3.7 Ensure that the person being assessed included all necessary steps in their communication.
3.8 This refers to ensuring that and cut outs in the signal had the information held within these
clarified, so no important information is lost.
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4.1 A timely and accurate response means that the person being assessed responded as quickly as
possible and answered any questions or hesitations that the other person may have.
4.2 Repeating back messages is one of the best ways to ensure a clear understanding has been
reached by both parties. You are looking to ensure that any safety critical information such as signal,
identifiers, head codes or isolation details etc. is repeated back.
This relates to the section above and allows you to record possible remedial actions that can be put in place.
Section D Recognition of Good Performance
This section shall be used to observe particularly good performance and what suggested action should be
taken to recognise this.
Other issues
It is important to remember that good communications should be appreciated and praised and that the
negative is not constantly focussed upon. Obviously poor communications need to be noted and improved but
positive aspects should also be built upon.
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Incident Occurs
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