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ATOC Guidance Note


ATOC/GN004
Issue One
Date: May 2001

ATOC
Association of Train Operating Companies

ATOC Guidance Note


Operation and
Management of Voice
Recording in TOC
Operations Control
Centres

Synopsis

This document provides guidance


on Voice Recording within TOC
Operations Control Centres,
including management of tapes,
routine monitoring and post incident
/ accident procedures.

Submitted by

Signatures removed from electronic version

Steve Bence
Director, Production Support, ATOC

Authorised by

David Franks
Chairman, ATOC Train Operations Scheme Council
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ATOC Guidance Note


ATOC Guidance Note ATOC/GN004
Operation and Management of Issue One
Date May 2001
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Contents

Section Description Page

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

Appendix A Example Monitoring Assessment Form 9

Appendix B Guidance Notes on Use of Monitoring Form 13

Appendix C Process Flow Chart 16

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ATOC Guidance Note ATOC/GN004
Operation and Management of Issue One
Date May 2001
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Part A
Issue Record

This Guidance Note will be updated when necessary by distribution of a


complete replacement.

Amended or additional parts of revised pages will be marked by a vertical


black line in the adjacent margin.

Issue Date Comments


One May 2001 Original Document

Responsibilities

Copies of this Guidance Note should be distributed by ATOC members to


persons responsible for ensuring compliance with the appropriate Railway
Group Standards.

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.

Copies of this Guidance Note have been provided to HM Railway Inspectorate


and to Railway Safety.

Guidance Note Status

This document is not intended to create legally binding obligations between


train operating companies and should be binding in honour only.

Supply

Controlled and uncontrolled copies of this Guidance Note may be obtained


from the Director, Production Support ATOC.
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ATOC Guidance Note ATOC/GN004
Operation and Management of Issue One
Date May 2001
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Part B
1. Purpose

This document provides guidance on the effective operation and management


of a system of Voice Recording in Train Operator Operations Control Centres,
including audit and post incident/accident arrangements.

2. Scope

This Guidance Note applies to all ATOC Members.

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.

Train Operator Duty Manager


Also means any other nominated senior Manager.

4. Recording of
Conversations

4.1 Uff Recommendation 19

Uff Recommendation 19 states that 'Appropriate procedures for receiving and


making an automatic record of verbal reports should exist in all control
centres, similar to the facilities installed by GWT in 1998'

4.2 Use of Phones

To comply with the above, it is essential that all phone conversations of an


operational nature are made using equipment on which voice recording is
operative. Use of mobile phones is therefore not permissible for such
conversations (unless such conversations are able to be recorded).

4.3 Contingency Arrangements

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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Operation and Management of Issue One
Date May 2001
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5. Management of
Tapes

5.1 Supply of Tapes

5.1.1 Sufficient tapes must be provided to enable:-

One tape to be allocated to a 24 hour period and clearly labelled,


e.g. 0700 Monday - 0700 Tuesday, or other period as agreed by
the individual Train Operator.
A minimum of one month's supply (or other period as agreed by
the Train Operator) of tapes to be available and used in rotation.
Spare tapes to be available.

5.1.2 Arrangements must be in place to change tapes every 24 hours (or as


otherwise determined by the Train Operator) or when they become
full.

5.2 Retention 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

6.1 Creation of Permanent Copy

Equipment must be able to provide a permanent copy of individual


conversations in a format that can be played back (or display a transcript) later
at an off site location.

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.

6.2 Use of Transcripts

Where transcripts are made, it is recommended that these be in addition to


rather than as an alternative to tape copies.

7. Confidentiality

7.1 Playing Back of Tapes

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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Date May 2001
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7.2 Disclosure of Tapes

It is not permissible for conversations or transcripts involving Train Operator


staff to be monitored by or disclosed to any other Train Operator or 3rd party
unless specific agreement has been made with the appropriate Train Operator
of the individual involved in the conversation.

8. Procedure for
Routine Monitoring

8.1 Overview

This procedure will vary dependent upon the system used.

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 Monitoring Conversations

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.

'Live' conversation monitoring can be undertaken and recorded during


competency assessments of the staff concerned.

8.3.2 The Authorised Manager must ensure the following points are
complied with within this procedure :

A random selection of no less than ten conversations are


monitored per period.
These must be on a range of recording channels so that as many
aspects of the work by Train Operator Control Centre staff are
covered.
A random hour is selected during which all conversations are
monitored.

It may however, be necessary to be more selective in monitoring if a


significant number of irregularities are found involving one person.

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Date May 2001
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8.4 Persons Responsible for Monitoring

Monitoring must be carried out by a person competent to assess the content of


the conversation (e.g. the Performance Manager, Control Office Manager,
their nominated deputies or an Operations Inspector).

8.5 Recording the Monitoring

A written record must be completed after each group of conversations


monitored and distributed as shown in 8.6. An example form, based on that
being adopted by Railtrack, instructions on its use and completion and a
process flow chart are provided as Appendices A, B and C respectively.

Original copies of forms must be retained by the line manager.

8.6 Action To Be Taken Post-Monitoring - All Cases

8.6.1 A copy of the form must be placed on the competence assessment file
of the individual concerned.

8.6.2 A copy of the form must be retained for audit purposes.

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 Additional Action To Be Taken Post-Monitoring in the event that


Irregularities are Found

8.7.1 Appropriate conversations must be recorded onto a separate tape.

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 Withdrawing of Tapes

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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Date May 2001
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9.2 Retention of Tape

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 Reviewing of Tape

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. Security of Tape


used for Post
Incident/Accident
Monitoring

10.1 Ownership and Provision of Tapes

10.1.1 The Train Operator must identify and document those individuals
authorised to take ownership of tapes used for post incident/accident
monitoring.

10.1.2 Following withdrawal of a tape in accordance with 9.1 above,


Operations/Production must be given a copy of the appropriate part of
the tape that is applicable to the incident being investigated.

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

Involved in conducting the investigation; and


NOT involved in the accident/incidents

A formal record must be made in the event of the transfer of custody


of the copied tape, this to include the names and signatures of both
parties, the time and date.

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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Date May 2001
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Appendix A - EXAMPLE MONITORING ASSESSMENT FORM

This form is to be completed in respect of each of conversation monitored .

ROUTINE/POST INCIDENT* MONITORING OF VOICE


RECORDER TAPES - ASSESSMENT SHEET
* Delete as appropriate

SECTION 1 - BASIC INFORMATION

Assessor's name

Location

Date of communication

Date of assessment

Activity discussed

Method of communication used

Lead communicator

Parties communicated with

Urgency of call (circle as appropriate) Routine Emergency

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Date May 2001
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SECTION 2 - COMMENCING COMMUNICATION

Did the person Yes No Some N/A

2.1 Identify themselves? ..

their location?

their job title?


2.2 Ensure identification of the other person, their location and
their job title?

2.3 Identify the purpose of the communication?

2.4 Take lead responsibility where necessary?

SECTION 3 - EXCHANGING INFORMATION

Did the person Yes No Some N/A

3.1 Communicate clearly and concisely?

3.2 Use the phonetic alphabet?

3.3 Speak numbers singularly?

3.4 Use standard terms where necessary?

3.5 Ensure any ambiguous wording was understood?

3.6 Ensure any jargon used was understood?


3.7 Ensure the key points of the activity were covered (e.g. type of
activity, time or area, etc.)?
3.8 Ensure the method of communication was technically sufficient
(e.g. no black spots, technical problems, etc.)?

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Date May 2001
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SECTION 4 - CONFIRMING UNDERSTANDING AND CLOSING COMMUNICATION

Did the person Yes No Some N/A

4.1 Answer questions with an appropriate and timely response?

4.2 Ensure any errors or inconsistencies were corrected?

4.3 Repeat messages back themselves, clearly and concisely?

4.4 Ensure messages were repeated back by the other party?

4.5 Ensure a clear understanding was reached between all


parties?

4.6 Obtain contact details?

SECTION A - ADDITIONAL NOTES


If the answer to any of the above questions was No or Sometimes please give a further indication below, as
to why this was.

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SECTION B - SUMMARY OF COMMUNICATION

Please summarise how you felt about the communication e.g. do you feel the person communicated effectively
and had a flexible communication style?

SECTION C - ACTIONS RECOMMENDED TO CORRECT PERFORMANCE

SECTION D - RECOGNITION OF GOOD PERFORMANCE

Signed : _________________________________________________________________________

Print Name and Position : ___________________________________________________________

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Appendix B - GUIDANCE NOTES ON USE OF MONITORING FORM

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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Section 1 - Basic Information


Location refers to the place where the communication being examined took place and should be
specific. You may also want to add the shift that the person was working if you feel this is relevant.

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.

Section 2 - Commencing communication


The beginning of the communication sets the tone for the rest of the conversation, therefore, if good
communication is used from the onset then this should be carried through. The aim of this section is to
examine the standard of communication used during this period.

Section 3 - Exchanging information


This part of the communication is where the main details or instructions are passed and it is important that all
information us transferred and understood.

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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Section 4 - Confirming understanding and closing communication


At this point in the communication you are looking to ensure that both parties have understood the same
message, that no assumptions have been made and that important messages are repeated back.

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.

Section A - Additional notes


This allows for free text entry of any other comments you want to add. For example, these could include where
No was ticked, why this was.

Section B - Summary of communication


This allows you to record any particular good or bad points about the communications. If one aspect was
particularly poor then it is worth recording this so as the information can be used to help the person to
improve. You can also note whether the person had a co-operative style or whether they could have been
more helpful. It may also be worth noting here any environmental conditions that were prevalent during the
communication.

Section C - Actions recommended to correct performance

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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Appendix C - PROCESS FLOW CHART

Pro-active Monitoring Re-active Monitoring


Used for Used for

Identifying poor/good Investigative purposes,


communication and providing and providing guidance,
guidance, advice and training advice and training
where necessary

Incident Occurs

Frequency of monitoring to be Tapes reviewed and conversation


defined monitored using the assessment
form, and then secured

Individual Location Tapes, transcript and monitoring


monitored monitoring form sent to the nominated
Investigation Officer

Tapes reviewed and conversation


monitored using the assessment
form Competency Review and
Assessment records Report conclusion
Program management reached

Competency Action plan


Assessment agreed/ and
Program feedback to
individual Recommendations
Guidance/training
made

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