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Good Practice Guide on
Competence Development
Uncontrolled When Printed
Document comes into force 02/03/2013
© RSSB Copyright 2013 Rail Safety and Standards Board Limited. All rights reserved. This publication may
be reproduced free of charge for research, private study, or for internal circulation within an organisation. This
is subject to it being reproduced and referenced accurately and not being used in a misleading context. The
material must be acknowledged as the copyright of Rail Safety and Standards Board Limited and the title of the
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Good Practice Guide on Competence Development
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Issue Record
Issue
Date
Comments
One
March 2013
Original document
Superseded documents
The following Good Practice documents are superseded by this Good Practice Guide on Competence Development:
Superseded documents
Date when superseded
RS/220 Good Practice in Training (2007, Issue 2)
March 2013
RS/221 Good Practice Guide to Train Driver Training (2008, Issue 1)
March 2013
RS/501 Good Practice on Simulation as a Tool for Training and
Assessment (2007, Issue 2)
March 2013
RS/701 Good Practice Guide on Competence Review and
Assessment (2008, Issue 2)
March 2013
RS/702 Good Practice Guide for Driver Assessment (2008, Issue 1)
March 2013
Supply
The authoritative version of this document is available at www.rgsonline.co.uk. Uncontrolled copies of this document
can be obtained from Communications, RSSB, Block 2, Angel Square, 1 Torrens Street, London EC1V 1NY, telephone
020 3142 5400 or e-mail enquirydesk@rssb.co.uk.
www.rgsonline.co.uk
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Acknowledgements
The document has been written by RSSB with significant input from stakeholders across the industry.
RSSB would like to thank Arriva Trains Wales, British Airways, East Midlands Trains, ScotRail, Hitachi Rail Europe
Ltd, Iarnród Éireann (Irish Rail), London Underground Ltd, Network Rail, Northern Rail, SouthEastern Railway and
Southern Railway for their case study contributions and/or for providing a steer and reviews of the document.
Page ii
Good Practice Guide on Competence Development
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Using this
Good Practice Guide
Uncontrolled When Printed
Document comes into force 02/03/2013
Using this Good Practice Guide
Purpose
This Good Practice Guide (GPG) on Competence Development represents a collation of previous RSSB good practice
guides relating to training and competence, and reflects the latest developments and thinking around how to ensure
staff competence.
It is designed to be used as a reference guide and a source of inspiration to help people working in the area
of competence, allowing them to ‘pick and choose’ ideas that are useful and practical depending on their own
requirements.
The GPG aims to move its users past the minimum standard as required by legislation – it is about going beyond the
‘basics’ and providing you with the tools you need to develop comprehensive competence management systems as
per your business and individual needs.
As understanding in the field of competence is always evolving, this is a live document that will be periodically
reviewed and updated to reflect the latest thinking and resources relating to competence development.
Target audience
Railway Duty Holders (Infrastructure Managers and Railway Undertakings) who are required under The Railways
and Other Guided Transport Systems (Safety) Regulations 2006 (ROGS)1 to make provisions within their Safety
Management System (SMS) to ensure, so far as is reasonably practicable, that the competence of all safety-critical
staff under their control is developed and maintained to a minimum safe standard.
This GPG has been developed to provide information and practical guidance to anyone who needs to understand,
manage or contribute constructively to the analysis, design, delivery, review or assessment of training and other
competence management activities.
The core text of this GPG is relevant to anyone with an interest in competence development (including the learners
themselves), whereas the appendices are for more specific audiences (such as those with a more detailed interest in
simulators, assessments etc).
Scope
This guide is designed to act as a reference manual. It pulls together:
• The evidence-based findings of recent research projects, highlighting practical guidance rather than focusing on
the academic theory behind them.
• The content of the previous five RSSB Good Practice Guides in the area (RS/220 Good Practice in Training
(2007)2, RS/221 Good Practice Guide to Train Driver Training (2008)3, RS/501 Good Practice on Simulation as a
Tool for Training and Assessment (2007)4, RS/701 Good Practice Guide on Competence Review and Assessment
(2008)5 and RS/702 Good Practice Guide for Driver Assessment (2008)6).
• Details of technology or other relevant mediums that support the implementation of innovative concepts.
• A variety of small and more in-depth case studies. These provide real-life demonstrations to highlight good
practice in the various areas, illustrating how different companies have adopted approaches that suit their learners
and business.
• Links and signposts to practical tools and further information.
The advice in this Good Practice Guide mainly pertains to the competence of safety-critical staff, though many of
the principles are widely applicable in the field of learning and development and will have relevance to other roles.
Although the overriding objective of competence management is mitigation of safety risk, it should be borne in mind
that safety risk is one component of overall business risk.
NB: This Good Practice Guide is not a mandated document even though it sits in the suite of Railway Group
Standards (RGS) documents.
Page iv
Good Practice Guide on Competence Development
Uncontrolled When Printed
Document comes into force 02/03/2013
Structure of the GPG
The information in this document is structured as follows:
1 Introduction and background
1.1 What is competence?
1.2 Understanding the current position and the barriers we face: Industry aspirations for improvement
2 Getting the basics right
2.1 The evidence-based competence management system cycle
2.2 Creating and supporting learning
3 Planning learning interventions and effective competence reviews
3.1 Learning: Methods and structure
3.2 Competence review and assessment
3.3 Use of simulation
4 Supporting effective CMS
4.1 Training staff
4.2 Competence development for and by line managers
4.3 Further considerations for train drivers
5 Evaluation of training and competence management activities
5.1 Models of training evaluation
5.2 Continual evaluation
www.rgsonline.co.uk
Page v
Uncontrolled When Printed
Document comes into force 02/03/2013
Using this Good Practice Guide
Information in each section is presented in the following ways
Headings and
subheadings
help navigate
the content
Planning learning interventions and effective competence reviews
Getting the basics right
This section introduces you to competence and its components before discussing the current position and
barriers faced within the railway industry.
Section 2.1 looks at the evidence-based competence management system (RSP1) before moving on to discuss
training needs analysis and the factors involved in competence retention.
Section 2.2 provides information on creating and supporting learning within the CMS.
However, if you have broken down the role through the RBTNA process, you should be able to identify the relative
difficulty of specific goals and tasks. So, there may be a basic task within an emergency goal that is easier to learn
than a more difficult ‘normal’ task. This does not mean that the normal, degraded and emergency principle can be
disregarded, but in order to achieve truly graded learning, programmes should be devised so that the easier goals
(or tasks within goals) are learned first. This diagram, adapted from the T718 Adult learning and innovation report23,
shows a simplified course structure working on this slight refinement to the RSP1 guidance:
Increasing goal/task difficulty about each type of operation at each module level and
2.1 The evidence-based competence management system cycle
Competence management is an important strategic objective for all companies. The Office for Rail Regulation’s
(ORR) Railway Safety Publication1, Developing and Maintaining Staff Competence2 (RSP1) outlines a competence
management cycle that informs the development, design, execution and review of activities within a competence
management system (CMS):
Phase 1: Establish requirements
for the CMS
Identify activities and assess risks
Select standards
Module 1
Module 2
Module 3
Normal
Normal
Normal
Module 4
Normal
Degraded
Degraded
Degraded
Degraded
Emergency
Emergency
Emergency
Emergency
Core text
and diagrams
provide detail
about the topic
area
Figure 26: Simplified and refined course structure with difficulty of specific goals and tasks
Phase 5: Verify, audit and review
the CMS
In this structure, each module corresponds to a blend of competence development activities relating to goals/tasks of
approximately the same difficulty, with the normal, degraded, emergency progression maintained within each module.
But even this model is oversimplified. For example, there may be a case for undertaking competence development
of very difficult, low frequency, highly important tasks, such as emergency tasks, very early in the programme.
These may require a rich blend of competence development activities, starting with those which are ‘easiest’ and
progressively developing competence as the course progresses.
Phase 2: Design the CMS
Develop procedures and methods
Verify and audit the CMS
Decide how to meet the standards
Review and feed back
Establish requirements for training,
development and assessment
Maintain managers’ competencies
Learning and reinforcement activities for non-technical skills (NTS)
Phase 4: Verify, audit and review
the CMS
Monitor and reassess staff performance
Numerous
links and
signposts
are provided
for accessing
resources for
further reading
The RSSB T869 NTS project9 was commissioned to develop, pilot and evaluate training courses and
reinforcement activities to enhance NTS. As well as the formal training course materials, managers can use
tools that have been developed as part of the project to support non-formal coaching and mentoring discussions.
These tools include a template for a feedback discussion and tips on how to coach staff effectively.
Phase 3: Design the CMS
Update the competence of individuals
Select and recruit staff
Manage sub-standarded performance
Train, develop and assess staff
Keep records
Control activities undertaken
The RSSB NTS training materials have been developed in such a way that it is possible for companies to tailor
the way that the course is delivered, for example by running shorter workshops instead, or making some of the
materials available to employees for individual use (eg support materials, background information and posters in
communal areas). By making non-formal materials available, this increases the chances that the skills learnt by
participants on the courses will be reinforced and continually improves.
Figure 6: Competence management system cycle (from RSP1)
In RSP1, the ORR states that ‘’the purpose of a CMS is to control in a logical and integrated way activities within a
company or organisation that will assure and further develop competent performance at work. The aim is to ensure
that individuals are clear about the performance that is expected of them, that they have received appropriate training,
development and assessment, and that they maintain or improve their skills over time’. The cyclical process is
designed to continually improve competence.
Northern Rail was one of the companies involved in the development and piloting of the RSSB NTS materials.
Northern have taken a holistic approach to the development of NTS, integrating it into the selection process,
training, competence assessments and incident investigations (see the case study below for more information).
To ensure that their position was clear, and that NTS were integrated effectively, Northern Rail produced an NTS
integration strategy document based on discussions among internal personnel.
The CMS cycle consists of principles (the bulleted points in the diagram above) that are linked to the five phases in
the cycle above. The principles define key safety objectives that should be achieved as part of a CMS. For further
information on the CMS cycle and complying with legislative requirements from RSP1, please refer to the ORR guide2.
References are made to the CMS cycle throughout this document to demonstrate how good practice aligns with each
of the five stages.
Northern have sought to raise awareness of NTS throughout the company by including features on NTS in their
company magazine, and discussing NTS as part of company briefing days. As well as providing formal NTS
training for drivers and managers, managers are reinforcing the importance of NTS by including evaluations of
NTS as part of competence assessments and feedback discussions, and using the NTS list as a checklist when
investigating incidents and accidents.
See Appendix A: Relation of RSP1 CMS Phases with GPG sections and case studies for a table showing where each
section and case study of this GPG fits with the RSP1 CMS cycle above.
Page 18
Case study: Arriva Trains Wales’ approach to simulators as a
learning tool
Good Practice Guide on Competence Development
Key learning points from section 4.2
Arriva Trains Wales (ATW) operates the Wales and Borders franchise, with services as varied as its Premier
North South long-distance service from Holyhead to Cardiff, to a network of busy commuter lines branching into
the South Wales valleys, Manchester and Birmingham.
It employs a total of 2,050 employees, including over 600 drivers, over 470 conductors, over 400 station staff,
200 traction and rolling stock staff and over 200 support staff at over 50 staffed locations.
Building a culture of dynamic learning
ATW aspires to an open and honest safety culture and sees on-going competence development as an integral
part of business improvement.
The business objective to develop a coaching culture has a comprehensive plan underpinning it. This includes
‘coaching contracts’ with employees on in-house talent management programmes.
Coaching is also an integral part of the Institute of Leadership and Management42 programme that many
managers have achieved. Additionally, employees who buddy or coach new starters are trained and assessed to
national standards at the appropriate level.
Case
studies are
provided
in boxes to
highlight good
practice about
particular topic
areas
Page 42
Good Practice Guide on Competence Development
The development needs of employees are supported by
a training team based at training centres in Cardiff and
Chester.
The team’s philosophy is to be a cohesive, disciplined
unit that does not just ‘do the normal’, but is encouraged
to innovate, be creative and do things differently,
particularly in terms of challenging learners to take
ownership of their competence development.
The team sits within the Human Resources function.
There is wide acknowledgement that in the past, the
team was primarily involved with new entrant training
and designing safety training days for line managers to
Figure 35: ATW in cab simulator
deliver. However, in recent years, the team has worked
far more closely with other departments on a wider
range of workstreams that cover the on-going competence development of individuals and teams and which
includes the delivery of driver safety training days in ATW’s two simulator centres.
As a result of this, the relationship with frontline
employees has also changed. Trainers are seen as
supporting partners for employees who have identified
issues with their own competence. This allows the
trainers to give open and honest feedback, whether
formally (at least once a week on new starter courses)
or informally. Trainers see it as critically important that
they work in partnership with line managers in order
that the competence development of employees can be
maximised.
Figure 36: Machynlleth station
Green boxes
contain in-depth
information
such as
research
relevant to the
core text
• Linemanagersplayacrucialroleinprovidingcompetencedevelopmentopportunitiesfortheirstaffandare
vital in supporting the ongoing development of their staff’s non-technical skills (NTS).
• AspartoftheT869non-technicalskillsproject,trainers,managersandfrontlinestaffinvolvedinthe
development of the training materials created a list of skills needed by managers to support development of
NTS.
• Identifyingandmanagingsubstandardperformanceinvolvesrecognisingwhencompetenceisorisnotthe
issue, understanding that error does not necessarily equal incompetence, using development plans and
reviewing them, and learning wider lessons from problems that affect many staff – see RSSB’s Safety Culture
Toolkit at safetyculturetoolkit.rssb.co.uk/home.aspx.
• NorthernRailhassuccessfullyutilisedcoachingasanapproachforhelpingothersexploretheirgoalsand
ambitions,andthenachievingthem.Inadditiontoencouragingindividualstoexploretheircompetence,
performance and behaviour in the workplace, coaching has also been used for career development
discussions between line managers and their team members.
4.3 Further considerations for train drivers
4.3.1 Driver training courses
The overall structure of driver training courses has already been covered in section 3.1 ‘Learning: Methods and
structure’. This structure has not changed since the 1970s. Until relatively recently, it was shaped by mandated
standards, but with the withdrawal of these companies have begun to take a progressive view on the future of driver
training. In addition to challenging the overall structure of training programmes (all theory must come before on-the-job
practical training), several other ‘standard’ features have been challenged.
Previous assumption
Emerging position
The Rule Book should be used as a training manual –
hence the prominence of discrete ‘Rules’ courses at the
start of driver training programmes.
Rules are part of underpinning knowledge, and as such should
be incorporated into learning technical tasks as part of a truly
blended approach.
It is not safe to allow a trainee driver to drive a train until
all theoretical rules and traction knowledge has been
learned and assessed.
Provided basic safety principles have been learned (what to
do if the instructor falls ill, immediate actions in an emergency,
including communications etc), the trainee is familiar with the
cab environment and controls and the training staff providing
instruction are competent, there is no difference between a
traineedriverdrivingatrainforthefirsttimeondayoneor
afteranextensiveperiodoftheoreticaltraining.Infact,learning
on-the-job improves transfer of underpinning theoretical
knowledge.
Drivers must complete a mandatory minimum amount
ofhoursdrivingincertainconditions.Forexample,a
minimum of 225 hours.
Asdiscussedinsection 1.1 ‘What is competence?’, time has
been traditionally used to assure competence. If a richer
competenceprofileisdeveloped,withcontinualformative
assessment of a learner’s competence development, time is
incidental. Trainees can be assessed when they are ready to
beassessed,accordingtotheexpertjudgementoftrainingstaff
and backed up by a comprehensive competence development
record.
Even if time continues to be used, it is not necessary for every
company to adhere to a national ‘standard’, as the criteria for
competence assurance will vary from company to company,
or even within companies, depending on different types of
operation/routes etc.
One of the mechanisms that has been instrumental
to the development of a culture of dynamic learning is
the way that train simulators have been incorporated
Key learning
points can be
found at the
end of each
section and
summarise the
main learning
points
Figure 47: Challenging assumptions - driver training courses
www.rgsonline.co.uk
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www.rgsonline.co.uk
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The case studies included in this document are examples and the list is not exhaustive. No two organisations are
the same and therefore the most effective combinations of competence development activities for one competence
management system may differ considerably to another.
For your information, the Glossary and terms (page vii) of this GPG provides definitions of common terms used in the
area of competence development. These definitions are used consistently within the guide, though variations may
exist within other publications and contexts.
Links and signposts are provided in italicised blue for accessing resources for further reading (provided in the list of
references) in italicised purple for a cross reference within the guide.
If you are using the on-screen (pdf) version of this GPG you will find that the italicised text are also links which you
can click for fast navigation to other parts of the document or are clickable links which will access the Internet (where
possible), if you are connected. The Acrobat Reader also has navigational controls to help you to quickly navigate
around the document, including going back to the page you just came from.
Where RSSB research projects and resources are referred to, reports can be downloaded from the RSSB website
at www.rssb.co.uk. Click on the link to ‘Research and Development’ and under ‘find a research project’ search for the
project using the ‘T’ number, for example ‘869’. Alternatively, you can go directly to the search page via this address:
http://www.rssb.co.uk/RESEARCH/Pages/ResearchandDevelopmentTool.aspx or search for the relevant research
project in the ‘search’ box on the home page.
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Glossary and terms
ADDIE
A generic term for a five-phase instructional systems design model consisting
of Analysis, Design, Development, Implementation, and Evaluation where each
step feeds into the next step of the cycle.
ATW
Arriva Trains Wales
AzLM
A type of electromagnetic axle counter
BA
CAA
Capability
British Airways
Civil Aviation Authority
An individual, team or company’s potential to demonstrate and develop
competencies.
CBT
Computer-based training
CGI
Computer generated imagery
Competence/
competent
The quality or state, of being adequately knowledgeable and skilled to be able
to perform a specific act or task to an agreed level/standard. This agreed level
of performance can range from novice to expert. Competence is the measurable
outcome from the application of competencies.
Competence
Management
System
A risk-based system that identifies the competencies required to carry out a task,
and ensures that those undertaking that task have, and continue to have, the
competence required to do it.
Competency/
competencies
The skills (technical, functional and non-technical) and underpinning knowledge
that enable someone to demonstrate a certain level of competence.
CPD
CR-DST
CSA
ESCROW
Continued professional development
Competence Retention-Decision Support Tool
Cognitive Styles Analysis
In the context of simulation or other software, ESCROW is a third party service
that holds source codes or other vital (unique) operating system data. This is vital
to protect the capital investment as without codes there is no means of repairing
or rebuilding a system in the event that your supplier becomes bankrupt. The
ESCROW service can often technically validate the information they accrue at
extra cost and is usually supplied by an external company.
FOC
Freight operating company
GPG
Good practice guide
GROW
IPI
www.rgsonline.co.uk
www.rssb.co.uk
The Goal, Reality, Options, Will model provides a structured methodology which
helps set goals effectively using a problem solving process. It is a popular tool
used by coaches and mentors.
Information Processing Index
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Glossary and terms
ISD
Instructional systems design is a methodology used to manage the development
and review of training and assessment materials.
ITT
Invitation to tender
LMS
Learning management system
LU/LUL
London Underground Ltd
MCQ
Multiple choice questions
MRQ
Multiple response questions
NOS
National Occupational Standards specify the UK standards of performance and
are the skills, knowledge and understanding needed to undertake a particular
task or job to a nationally recognised level of competence within the key activities
undertaken within the occupation in question and under all circumstances the job
holder is likely to encounter.
NSARE
National Skills Academy for Railway Engineering
NTS
Non-technical skills are generic skills that can enhance the way that a task or
procedure is carried out and can increase safety by helping to manage threats
(eg hazardous weather conditions) and errors when they occur. Examples of
NTS include situational awareness, decision making and workload management.
NVQ
National Vocational Qualifications
OJT
On-the-job training
ORR
Office of Rail Regulation - the independent safety and economic regulator for
Britain's railways
OTDR
QCF
Railway
undertaking
On-train data recorder
Qualifications and Credits Framework
A railway undertaking is a transport undertaking, as defined in the Railways
and Other Guided Systems Regulations 2006, whose safety certification covers
operation of trains on the managed infrastructure, as defined in the Railway
Group Standards Code.
RBTNA
Risk-Based Training Needs Analysis – methodology and tool
ROGS
The Railways and Other Guided Transport Systems (Safety) Regulations 2006
Rote learning
Technique of learning information by repeating it over and over again – useful for
remembering information but not for understanding the meaning. Often, a song
or a poem is learnt by rote learning.
RSP1
The Office of Rail Regulation’s Railway Safety Publication 1 (RSP1): ‘Developing
and Maintaining Staff Competence’
RSSB
Rail Safety and Standards Board
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Simulation
SCORM
‘A model of real activity created for training purposes or to solve a problem’.
(Resources Industry Training Council)
‘A situation or environment, which is reproduced, but not necessarily by a
machine’ (Health & Safety Executive)
Sharable Content Object Reference Model integrates a set of technical
standards, specifications and guidelines that enables interoperability, accessibility
and reusability of Web-based learning content so that it is compatible with other
e-learning software and integrates with learning management systems. The
SCORM standards are governed and published by the Advanced Distributed
Learning Initiative7).
SMS
Safety Management System
SPaD
Signal passed at danger
STUDs
Safety Training Update Days
SVQ
Scottish Vocational Qualifications
TfL
Transport for London
TNA
Training needs analysis
TOC
Train operating company
VICS
Verbal-Imagery Cognitive Style
VR
WDS
www.rgsonline.co.uk
Virtual reality
Workforce Development Specialist
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Frequently Asked Questions
The ‘FAQ’ matrix provides a quick reference to sections related to the statements posed. It is not designed to answer
all questions or provide exhaustive answers.
I want to…
Apply research outputs to
practice
Section 1
Section 2
Section 3
1.1
1.2
2.1
2.2
3.1
3.2
3.3
4.1
4.2
4.3
5.1
5.2
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
Comprehensively evaluate
training programmes
Section 4
✓
Create buy-in for a new training
course
✓
✓
✓
Create development plans
✓
✓
Design cost-effective training
programmes
✓
Develop a clear strategy for
assessing competence
✓
✓
✓
✓
Incorporate standards and
regulation into the competence
management system (CMS)
✓
✓
✓
Integrate non-technical skills
(NTS) into training
✓
✓
✓
✓
B
Use simulators and justify
the need
Page x
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
E
✓
Read practical examples about
companies employing good
practice
Use a variety of learning
methods
✓
✓
Provide guidance to assessors
Use a training needs analysis
and understand how to use a
risk-based approach (RBTNA)
✓
✓
Develop the competency of
trainers and managers
Incorporate learning theory and
styles into training
✓
✓
✓
✓
App.
✓
✓
✓
Develop structured training
programmes
Understand the basics on
competence development
Section 5
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
✓
A
G
✓
C,D
✓
F
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Contents
Issue Record. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
Superseded documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
Supply. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
Acknowledgements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ii
Using this Good Practice Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
Target audience. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
Structure of the GPG. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Glossary and terms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
Frequently Asked Questions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x
List of figures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
List of case studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
1 Introduction and background. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.1 What is competence?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.1.1 Components of competence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.1.2 Technical skills and underpinning knowledge. . . . . . . . . . . . . . . . . 8
1.1.3 Non-technical skills. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.1.4 Functional skills. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Key learning points from section 1.1. . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.2 Understanding the current position and barriers we face:
Industry-wide aspirations for improvement. . . . . . . . . . . . . . . . . . . . . . . 11
1.2.1 Barriers to innovation: Considering when the climate is right
for change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Case study: London Underground’s use of technology to develop,
maintain and document competence . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Key learning points from section 1.2. . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2 Getting the basics right . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.1 The evidence-based competence management system cycle. . . . . . . .
2.1.1 Training needs analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.1.2 Risk-based training needs analysis. . . . . . . . . . . . . . . . . . . . . . . .
2.1.3 Competence retention factors. . . . . . . . . . . . . . . . . . . . . . . . . . . .
Key learning points from section 2.1. . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.2 Creating and supporting learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.2.1 What is learning? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.2.2 The learning process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.2.3 Learning within the wider organisational safety culture. . . . . . . . .
2.2.4 Continuous learning and how to promote it: ‘Dynamic’ learning. .
2.2.5 Individual differences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.2.6 Adult learning styles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Case study: British Airways – inspiring learners and developing
competence from beyond the railway industry. . . . . . . . . . . . . . . . . . . .
Key learning points from section 2.2. . . . . . . . . . . . . . . . . . . . . . . . . . . .
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3 Planning learning interventions and effective
competence reviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
3.1 Learning: Methods and structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.1.1 What is truly ‘blended learning’?. . . . . . . . . . . . . . . . . . . . . . . . . .
Case study: Network Rail’s AzLM Axle Counter Training course –
moving from a predominantly theory/ knowledge based approach
to a truly blended approach. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.1.2 Options for structuring learning: Contexts and perspectives. . . . .
3.1.3 Learning aims and objectives. . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.1.4 Structure of training programmes. . . . . . . . . . . . . . . . . . . . . . . . .
Case study: Northern Rail – integration of non-technical skills
(NTS, T869). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Key learning points from section 3.1. . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.2 Competence review and assessment. . . . . . . . . . . . . . . . . . . . . . . . . . .
3.2.1 Setting standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.2.2 Assessment methods and evidence of competence. . . . . . . . . . .
3.2.3 Assessment strategy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.2.4 Assessors and roles. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.2.5 Documentation and other logistics . . . . . . . . . . . . . . . . . . . . . . . .
Key learning points from section 3.2. . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.3 Use of simulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.3.1 What is simulation?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.3.2 Why use simulation for competence development. . . . . . . . . . . .
3.3.3 Drawbacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Case study: ScotRail’s simulator assessment – an approach to
physiological and psychological impact mitigation . . . . . . . . . . . . . . . . .
Case study: Arriva Trains Wales’ approach to simulators as a
learning tool. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Key learning points from section 3.3. . . . . . . . . . . . . . . . . . . . . . . . . . . .
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4.1 Training staff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.1.1 Roles and responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.1.2 Training staff competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.1.3Selection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.1.4 Competence development and qualifications. . . . . . . . . . . . . . . .
Case study: Delivering capability at Network Rail –
moving beyond traditional training roles and stereotypes:
the Workforce Development Specialist. . . . . . . . . . . . . . . . . . . . . . . . . .
Key learning points from section 4.1. . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.2 Competence development for and by line managers. . . . . . . . . . . . . . .
4.2.1 Role of line managers in developing NTS. . . . . . . . . . . . . . . . . . .
4.2.2 Identifying and managing substandard performance . . . . . . . . . .
Case study: ‘Coaching for Success’ at Northern Rail – approach to
using coaching for competence development for line managers . . . . . .
Key learning points from section 4.2. . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.3 Further considerations for train drivers. . . . . . . . . . . . . . . . . . . . . . . . . .
4.3.1 Driver training courses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4.3.2 European Train Driver Licensing Directive (ETDLD). . . . . . . . . . .
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4.3.3 Practical handling and route learning. . . . . . . . . . . . . . . . . . . . . .
4.3.4 Eco driving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Case study: ScotRail’s approach to training drivers
in a new concept of eco driving techniques . . . . . . . . . . . . . . . . . . . . . .
Key learning points from section 4.3. . . . . . . . . . . . . . . . . . . . . . . . . . . .
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5 Evaluation of training and competence
management activities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
5.1 Models of training evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
Case study: Southern Railway – a summary of training
evaluation and links to Return on Investment
(from RSSB T762 Training as an Investment). . . . . . . . . . . . . . . . . . . . . 93
5.2 Continual evaluation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
Case study: Iarnród Éireann (Irish Rail) – overhaul of training
and competence development activities. . . . . . . . . . . . . . . . . . . . . . . . . 95
Key learning points from section 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Appendices. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Appendix A: Relation of RSP1 CMS Phases with GPG sections
and case studies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
Appendix B: Example training session plan (courtesy of Hitachi
Rail Europe Ltd.). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
Appendix C: Types of questions – ’Designing assessments’
(courtesy of Kineo). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Appendix D: Types of questions – RSSB Human Factors
Awareness course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
Appendix E: Guidance for Assessors – the assessor cycle . . . . . . . . . . . . 115
Appendix F: Types of simulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
Appendix G: Simulator procurement checklist and example tender. . . . . . 125
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List of figures
Figure 1:
Components of competence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Figure 2:
Screenshot from the LUL LMS. . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Figure 3:
Screenshot showing the courses that an individual has added
to their learning plan and their progress so far.. . . . . . . . . . . . . . . . 13
Figure 4:
Example from the online learning. . . . . . . . . . . . . . . . . . . . . . . . . . 14
Figure 5:
Decision-tree for passenger operated machines . . . . . . . . . . . . . . 14
Figure 6:
Competence management system cycle (from RSP1). . . . . . . . . . 18
Figure 7:
Stages and products of a standard training needs analysis. . . . . . 19
Figure 8:
Three main stages of RBTNA. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Figure 9:
RBTNA training priority assessment overview . . . . . . . . . . . . . . . . 20
Figure 10: The breadth of ‘what influences’ competence retention
from the Good Practice Guide: Competence Retention18. . . . . . . . 22
Figure 11: Stages of competence development/learning – adapted from
RSP1 with the example of driving a car using these stages. . . . . . 24
Figure 12: Gagne’s (1974) Information Processing Model. . . . . . . . . . . . . . . . 26
Figure 13: Riding & Cheema’s (1991) Cognitive Styles Analysis (CSA) . . . . . 27
Figure 14: Honey & Mumford’s (2006) learning style
preferences descriptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Figure 15: Honey & Mumford’s learning style preferences - steps we go
through when we learn. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Figure 16: Graph of driver training courses (from T718) . . . . . . . . . . . . . . . . . 36
Figure 17: The ‘ADDIE’ model. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Figure 18: Training centre track layout. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Figure 19: Training facilities - internal layout. . . . . . . . . . . . . . . . . . . . . . . . . . 39
Figure 20: Mock lineside setup. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Figure 21: Signaller’s panel. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Figure 22: Lineside cabinet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Figure 23: Four learning ‘contexts’ from ‘The New Learning Architect’
by Clive Shepherd (2011). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Figure 24: Two learning perspectives from ‘The New Learning Architect’
by Clive Shepherd (2011). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Figure 25: RSP1 recommended course structure with graded progression
through normal, degraded and emergency operations. . . . . . . . . . 43
Figure 26: Simplified and refined course structure with difficulty of
specific goals and tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
Figure 27: Principles of assessment methods and evidence of competence. 48
Figure 28: Methods that can be used for assessments and
competence reviews. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Figure 29: Shows an example of the sea-band packaging . . . . . . . . . . . . . . . 62
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Figure 30: From the drivers eye-line the sun visor is raised to establish a
static datum outside of the simulation at the top of the picture. . . . 62
Figure 31: The driver’s eye-line the normal view where no static datum is
visible outside of the simulation . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Figure 32: Shows the peripheral vision (there is another screen on the
other side of the cab too) which use the driver’s peripheral vision
to create a perception of movement/speed and provide an
immersive environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Figure 33: Shows the peripheral vision screen(s) switched off to reduce the
perception of movement and the cab light has been switched on
to reduce the dynamic impact of the forward view . . . . . . . . . . . . . 62
Figure 34: Shows the cab door ajar which is often used initially until
the driver acclimatises to the darker cab environment. . . . . . . . . . 63
Figure 35: ATW in-cab simulator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Figure 36: ATW trains at Machynlleth station. . . . . . . . . . . . . . . . . . . . . . . . . . 65
Figure 37: Simulator room. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
Figure 38: Simulator room discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Figure 39: Using the simulator poster . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Figure 40: Instruction training with WDS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Figure 41: Training with a WDS using track equipment. . . . . . . . . . . . . . . . . . 75
Figure 42: Extract from the WDS programme outlining the development
opportunities for WDSs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Figure 43: Instruction training using equipment. . . . . . . . . . . . . . . . . . . . . . . . 77
Figure 44: NTS skills for line managers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Figure 45: Factors affecting performance – The individual, the job or
workplace, and the organisation. . . . . . . . . . . . . . . . . . . . . . . . . . . 81
Figure 46: James Reason’s (1990) Swiss Cheese Model37. . . . . . . . . . . . . . . 82
Figure 47: Challenging assumptions - driver training courses. . . . . . . . . . . . . 85
Figure 48: Example of a leaflet provided to driver during briefings . . . . . . . . . 89
Figure 49: Example - arrive at Stirling station on time when combining
route knowledge with coasting at a reduced speed . . . . . . . . . . . . 90
Figure 50: The T762 generic return on investment model. . . . . . . . . . . . . . . . 93
Figure 51: Training Centre at Inchicore, Dublin. . . . . . . . . . . . . . . . . . . . . . . . 96
Figure 52: Simulator room. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
Figure 53: Screenshot 1 from the CGI training –
image courtesy of CORYTESS. . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Figure 54: Screenshot 2 from the CGI training –
image courtesy of CORYTESS. . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Figure 55: Interchangeable panels. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
Figure 56: Tender process overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
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List of case studies
Section
Case study
Company
Page
no.
London Underground
13
1.2
London Underground’s use of technology to develop, maintain and
document competence
2.2
British Airways – inspiring learners and developing competence from
beyond the railway industry
British Airways
30
3.1
Network Rail’s AzLM Axle Counter Training course – moving from a
predominantly theory/knowledge based approach to a truly blended
approach
Network Rail
37
3.1
Northern Rail – integration of non-technical skills (NTS, T869)
Northern Rail
45
3.3
ScotRail’s simulator assessment – an approach to physiological and
psychological impact mitigation
ScotRail
61
3.3
Arriva Trains Wales’ approach to simulators as a learning tool
Arriva Trains Wales
65
4.1
Delivering capability at Network Rail – moving beyond traditional
training roles and stereotypes: the Workforce Development Specialist
Network Rail
75
4.2
‘Coaching for Success’ at Northern Rail – approach to using coaching
for competence development for line managers
Northern Rail
84
4.3
ScotRail’s approach to training drivers in a new concept of eco driving
techniques
ScotRail
89
5.1
Southern Railway – a summary of training evaluation and links to
Return on Investment (from RSSB T762 Training as an Investment)
Southern Railway
93
5.2
Iarnród Éireann (Irish Rail) – overhaul of training and competence
development activities
Irish Rail
95
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1.Introduction
& Background
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Introduction & Background
This section introduces you to competence and its components before discussing the current position and
barriers faced within the railway industry.
Section 1.1: looks at competence and its components.
Section 1.2: discusses the outcomes of a review of driver training and some common barriers within the railway
industry.
1.1 What is competence?
Given the title of this guide, possibly the most important definition is competence (which is distinguished in the
glossary from ‘competencies’).
The Office of Rail Regulation’s (ORR’s) Railway Safety Publication 1 (RSP1) Developing and Maintaining Staff
Competence8 breaks down the components of competence as: ‘...practical and thinking skills, experience and
knowledge...’ (see section 2.1, ‘The evidence-based competence management system cycle’).
This raises the question, ‘What is experience?’ Within and beyond the rail industry, experience is usually measured in
time. However, rather than focusing on duration of time spent within the industry, competence development is actually
the result of ‘experiences’ within that time, ie events that have provided the opportunity to learn and develop skills.
Consequently, learning is a change in behaviour that results in better performance.
1.1.1 Components of competence
This good practice guide deals with competence (ie the opportunity to
learn and develop the skills), by thinking of it in terms of the following:
• Technical skills and underpinning knowledge
Non-technical
skills
Technical skills
& underpinning
knowledge
• Non-technical skills
• Functional skills
Functional
skills
1.1.2 Technical skills and underpinning
knowledge
These are the practical skills referred to by RSP1, combined with the
knowledge needed to practice them. For example:
• Operating a piece of equipment through knowing how it works.
• Measuring a distance by understanding the units of measurement
involved.
Competence
Figure 1: Components of competence
• Giving advice to a customer based on knowledge of ticketing.
1.1.3 Non-technical skills
Reviews of incidents and accidents have consistently shown that non-technical skills (NTS) are key contributors to
these events. NTS are generic skills that can enhance the way that a task or procedure is carried out and can increase
safety by helping to manage threats (eg hazardous weather conditions) and errors when they occur. Examples of NTS
include situational awareness, decision making and workload management. NTS could be considered the ‘thinking
skills’ referred to in the ORR definition, as well as a particular set of skills and knowledge relating to how risks can be
managed at the front line. Although not traditionally considered to be a key area of competence, research consistently
shows that the absence of NTS actually plays a key role in incidents and accidents. By developing these skills, staff
can learn how to deal with a range of situations, including situations that are more novel.
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NTS R&D project T869
RSSB has completed a project with representatives across the rail industry to develop, pilot and evaluate a NTS
training and development course (project reference T869). The training materials focus on the role of the driver,
but the materials and associated guidance about integrating NTS are applicable to other operational roles.
The project generated:
• Non-technical skills for rail: A list of skills and behavioural markers for drivers, with guidance notes (2012)9.
• Non-technical skills for rail: Developing an integrated approach to NTS training and development10.
• NTS training materials for frontline staff and their managers (including tools for managers to use in reinforcing
NTS development on an ongoing basis).
The list of NTS and related behavioural markers (examples of good and poor behaviour) that were generated as
part of this project were based upon a review of:
• Selection criteria used during recruitment for train drivers.
• Previous work conducted by RSSB with a train operating company to identify and measure NTS in the
simulator.
• Incidents and accidents recorded on the RSSB Human Factors incident database.
• Research literature on the role of behaviour in safety-critical roles.
• A list of NTS compiled by RailCorp and used in task analysis workshops to identify training needs.
• National Occupational Standards for train drivers.
The list of NTS and behavioural markers were then sense-checked in workshops with driver trainers and
managers by working through a task inventory of the drivers’ role. Although the list of NTS and markers was
originally developed for the driver role, research suggests that the same skills underpin many safety-critical
roles. In fact, some companies have begun to review the list in relation to other safety-critical railway roles and
found the NTS and markers to be applicable to those roles. Network Rail have recently developed their own very
similar NTS list for their staff.
More information on the methods used to produce and validate the RSSB list is included in the T869 first project
deliverable.
The Non-technical skills for rail: Developing an integrated approach to NTS training and development report10
has been written for people responsible for setting company policy with regard to competence management,
and those responsible for planning and implementing changes to the competence management system (CMS).
It is designed to assist in decisions about how NTS can be effectively integrated within the company. The report
includes:
• A case for investment in NTS integration.
• Recommendations on how to go about integrating NTS into all areas of the company (including who should
receive the training, who should train, how NTS can be integrated into competence management systems,
potential challenges, and recommendations for ongoing evaluation).
• Further information on the T869 project methodology (including evaluation results from the pilot courses).
• Frequently asked questions.
The NTS course materials and corresponding manager tools were developed in collaboration with trainers from
across the industry, to provide companies with a ‘template’ NTS course and corresponding tools to support
the ongoing development of NTS. The materials and tools have been piloted and evaluated, and initial results
suggest that the training and support activities have led to an increase in NTS competence among staff.
Reports from this work can be downloaded from the RSSB website NTS page11 or using project code number
‘869’ (see ‘Using this Good Practice Guide’ to find out how).
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Introduction & Background
1.1.4 Functional skills
These are core practical skills in English, numeracy, and information and communications technology (ICT) defined
by the UK Government12. These skills allow people to build the practical skills needed to get the most out of work,
education and everyday life.
From 1 October 2012 Functional Skills will have replaced existing qualifications in Key Skills as a mandatory
component of all Apprenticeship frameworks. Qualifications have been developed for Functional Skills, and these
are an integral part of Apprenticeships and Diplomas (as well as GCSEs and the Foundation Learning Tier). See the
Apprenticeships website13 for more details.
Key learning points from section 1.1
• Technical skills and underpinning knowledge (ie practical skills combined with the knowledge needed
to practice them), non-technical skills (ie generic skills that underpin effective technical performance)
and functional skills (ie core practical skills in English, numeracy, and ICT) are collectively known as
‘competencies’.
• Competence is the measurable outcome from the application of these competencies.
• Although it is the case within and beyond the rail industry that experience or time in a job role is usually
considered an indicative measure of competence, it is actually these competencies, gained from learning
experiences (ie training events or situations on-the-job), that make up competence. This means that each
should be considered when designing learning events and evaluating performance.
• Further guidance on integrating NTS into CMS can be found in T869 reports; Non-technical skills for rail - A
list of skills and behavioural markers for drivers, with guidance notes (2012) and Non-technical skills for rail
- Developing an integrated approach to NTS training and development (2012). Please see the NTS page on
the RSSB website for more details.
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1.2 Understanding the current position and barriers we face:
Industry-wide aspirations for improvement
The high level of engagement and practical assistance provided by rail companies to the RSSB-managed rail industry
research programme clearly demonstrates the desire of the rail industry to innovate and improve in the area of
workforce development.
Although there are many strengths in the current approach to training, areas for improvement have been identified,
and it is clear that there are a number of barriers to innovation. This section outlines the strengths and weaknesses
identified by the T718 review of driver training project (see box below) and some common barriers. By anticipating and
planning for these barriers, innovation is more likely to take place – as illustrated in the London Underground study
provided at the end of this section.
Overall picture – Project T718
Project T718 Review of GB driver training and development of leading practice models for the industry14
reflected many common themes across industry roles, identifying strengths of current (driver) training which
reflect the overall picture that:
• Basic support structures for training are well-established and have ongoing investment.
• A professional and enthusiastic approach is taken to the design and delivery of training.
• Training is generally very comprehensive.
Through its combination of establishing the current state of driver training and comparing it with leading practice,
the following areas for improvement also identified the following needs:
• More continuous evaluation of training and competence management activities.
• More comprehensive training needs analyses to provide a more objective evidence-base for competence
management activities.
• To move away from training curricula that are too theory/knowledge based, towards greater emphasis on
non-technical skills.
• To make training more efficient (for the benefit of both learners and businesses), with a more flexible
structure.
• To provide additional support for training staff.
• To improve communication, information flow and feedback between training staff and learners.
1.2.1 Barriers to innovation: Considering when the climate is right for change
The summary report for phase three of the T718 project considers some of the factors that the industry needs to bear
in mind when considering changes to training and other competence management activities. This is very pertinent
to the guidance in this document, as failure to manage proposed changes may become a barrier to the success of
innovations.
1.2.1.1 ‘Getting the right people in the room’
Companies are structured in different ways, with different departmental splits (Human Resources, Operations,
Standards and Safety, for example) and even roles within those departments having varying and sometimes conflicting
interests in training and competence management activities. It is important for companies to have staff with skills to
plan, conduct task analyses, write training objectives, etc (also see section 4 on ‘Supporting effective competence
management systems’).
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Without ‘buy-in’ from all stakeholders – internal and external to the organisation – the success of change programmes
is at risk. This is a key element in driving forward initiatives that are aimed at delivering ongoing business
improvement.
It is important for changes to be supported from an executive level, with a clear vision as to what the output needs to
deliver. This helps focus the people involved in delivering the initiative. If the initiative involves multiple functions, then
the individual leading the initiative should ideally have the skills and experience to build collaborative relationships,
with a track record for seeing things through to conclusion.
It is also worth considering the involvement of external industry partners and unions; they should have input into
the process, and it could be easier when consulting the changes at a later point. Choosing not to do so could delay
implementation or require additional work in order to formalise agreement.
1.2.1.2 Corporate considerations
Franchise lengths may determine whether a business is willing to risk financial and other resources, when existing
competence development arrangements are perceived to be sufficient. Indeed, costly competence management
systems are often seen as a burden, driven by regulation rather than according to business needs.
As a franchise enters the latter years, initiatives that require resource (financial or people) may struggle to receive
support. However, it is not impossible; it just makes it all the more important to establish a strong case that
demonstrates a return on that investment, be it on safety grounds, or financial. This can be undertaken by comparing
the investment required with the cost of doing nothing.
1.2.1.3 Moving beyond ‘the way things have always been’
When proposing change and innovation, rather than being able to work with a ‘blank slate’, assumptions and
constraints associated with existing structures become a barrier. It can be helpful to bring in people who are able to
provide a fresh perspective, including those who do not know the topic area. Creatively thinking about how to establish
a training programme or competence management system may be disrupted without negative associations about
previous learning and development roles (such as trainer is classroom-based, instructor is on-the-job) being put to one
side.
Before the formalisation of training for operational roles in the railway, learning was often self-directed through
informal practices such as ‘Mutual Improvement Classes’. This means that the culture that prevails in the railway
is now ‘competence is something done to you’, rather than something owned by the individual or team concerned.
See section 2.2 on ‘Creating and supporting learning’ and the Case study: London Underground’s use of technology
to develop, maintain and document competence provided at the end of this section which describes how a learning
management system is used to encourage staff to take ownership of their own competence.
1.2.1.4 Measuring and documenting ‘competence-based training’
Many of the suggested innovations within this Good Practice Guide are based on creating a comprehensive
competence profile for individuals and team, based on competencies, rather than time as the primary assurance of
competent performance. It is therefore important to have a rigorous evidence-base to establish what competencies are
needed and how they will be measured, rather than relying on subject-matter expert instinct. Section 2.1.2 on ‘Riskbased training needs analysis’ gives more information on how this can be accomplished.
A comprehensive competence profile will also provide challenges for the documentation of competence development
and maintenance. The development of competence on a continuum from beginner to expert is a more valuable
approach than ‘tick-box’ compliance, but the latter is simpler to achieve.
Richer competence profiles have the potential to generate large amounts of data which can be more difficult to record
with traditional paper-based systems. In order to ensure that companies can still provide evidence that their employees
meet agreed minimum standards of competence, as well as develop them beyond these minimum levels, it is likely
that technology will need to be employed.
This technology may also assist with charting the progress of learners. Although each individual will learn in a different
way and at a different rate, it is impractical for competence development activities to be open-ended. Measuring
competence development against a ‘standard’ enables issues to be dealt with promptly.
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The National Skills Academy for Railway Engineering (NSARE)15 is aiming to establish a National Competency
Database and a Skills Passport scheme which will provide a record of training and achievement to employees that will
be required and recognised throughout the industry. This is likely to help employees track their own competencies and
enhance companies own CMSs.
Case study: London Underground’s use of technology to develop,
maintain and document competence
London Underground (LU), also known as the Tube, is a subsidiary company of Transport for London (TfL), an
integrated body responsible for London’s transport system. LU is responsible for operating the LU train network.
The Tube has 11 lines, covering 402km and serves 270 stations. LU carries more than one billion passengers a
year – more than 3.5 million people travel around the capital every weekday and about the same number each
weekend – which is more than the entire National Rail network. LU employs approximately 19,000 staff.
LU uses a learning management system (LMS) as way of encouraging learners to develop their own
competence. The system is open and visible to all staff. Most courses on the system are available to all staff
(except for some which are relevant to specific operational roles).
Operational roles in London Underground require extensive training to be undertaken. By making more of this
training content available online, London Underground was able to reach a larger audience and reduce the time
needed to be spent in the classroom. This also provided an opportunity for staff who are keen to progress their
career to take control of their own development and upskill themselves with own time learning to help prepare
for the next step in their career.
The resources on the system are made available via a catalogue, from which an individual can select courses
and add them to their individual learning plan, access eLearning courses and course materials.
The image shows the front-end of the system (how it
looks to the user). This page includes external links
and the featured content in the side menus changes
periodically to keep the content fresh and make new
content easily accessible, which encourages users
to regularly visit the site. There are links to high
profile major projects (in this case, the Victoria Line
Upgrade and SSR Upgrade, and also dedicated pages
for the London 2012 Olympics), a specific London
Underground Operational page, and moderated
discussion forums are also available.
Learning resources
The eLearning resources have been designed over a
number of years, with content being developed both
internally and with third party eLearning developers.
At the start of development for any content, an SME
Figure 2: Screenshot from the LUL LMS
is identified in the business and they remain involved
throughout the development process. This ensures that the content is factually accurate and able to meet the
learning objectives. Transport for London (TfL) are currently looking to identify a single software application
which can be used for eLearning development across the organisation. It is hoped that this will help with the
transfer of knowledge amongst internal staff who work on eLearning development and will lead to a uniform
approach to eLearning content.
Much of the LUL eLearning is centred on embedded video content and virtual tours around locations/equipment.
This has proven to help employees engage with the eLearning and is also used as a ‘Just-in-Time’ training aid
(for example, someone may need to perform a task they have not done for a while and they can quickly watch
a video demonstration to refresh their memory. To further help engage the learner and ensure that learning has
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Introduction & Background
taken place, understanding is checked regularly during eLearning through brief formative assessments (usually
in the form of quizzes) which must be completed before moving on to the next piece of content.
Moving forward, there is a desire to extend real-time interaction through further use of forums, opening up chat
rooms and investigating the potential benefits of mobile learning.
Usage
The system has been operational for some years, but
has been regarded by many as cheap alternatives to
face-to-face courses. As such, it has stood alone from
formal training resources – effectively not regarded as
part of the whole competence ‘story’.
This attitude has started to change and usage is
increasing, partly due to the move to a new LMS
platform, but more particularly due to increased
support from senior management and the availability
of new content. eLearning is also becoming more
integrated with the whole development process, with
eLearning modules becoming an active part of
training programmes of which just part of the learning
is classroom delivered. A network of eLearning
‘champions’ at different locations have encouraged
further buy-in and usage by staff.
Figure 3: Screenshot showing the courses that
an individual has added to their learning plan and
their progress so far.
Barriers
Various work streams are underway to increase the effectiveness of the LMS. These include a plan to ensure
there is a suitable computer at each staff location to improve access to the system, increasing bandwidth to
improve the speed and quality of video downloads.
As the LMS is a licensed system, all users are required to sign in using a unique username and password. This
has been a barrier in the past as some users forget passwords or are unaware of the sign in process. By the
time they have reset their password or discover how to login, the impetus or desire to access the system and
complete online training is sometimes lost. This has recently been overcome by the LMS incorporating a single
sign in system on the TfL network. This is done by integrating the sign in process with TfL’s Active Directory, so
that authentication automatically takes place in the background when a user clicks on the LMS link from work.
Individuals and their managers can access various
reports to keep track of which courses the learner has
undertaken, is undertaking, or plans to undertake.
London Underground uses a separate HR management
system, which trainer records can be uploaded to.
However, this is the only way in which the LMS and the
HR system can interact.
Figure 4: Example from the online learning
Page 14
This is a barrier to managing all learning activities
through the LMS, as the HR system manages rostering
of staff. If the LMS were able to interact with this, it
would be far easier for learners and their managers to
enrol on formal face-to-face courses. The LMS does not
interact with existing competence management systems
for operational roles, although there is a performance
management element which could be used for this
purpose in future.
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The inability to interact with other competence development/management activities makes it difficult to evaluate
the success of the LMS beyond feedback on individual eLearning courses/modules. It also means that training
designers/staff who look after formal learning activities have not actively redesigned their activities to take into
account the non-formal/on-demand learning offered by the LMS.
Future challenges and developments
To build a link with formal courses/briefing, it is hoped
that face-to-face learning activities can be filmed and
incorporated into the LMS.
A programme called ‘MyLearning’ will encourage staff
to take charge of their own competence development.
Career development within LUL has traditionally been
based on time in service. The focus will now be on
advancing learners who take time to develop their own
capability and competence.
Figure 5: Decision-tree for passenger operated
machines
Transition of content to mobile devices (such as
smartphones and tablets) is being actively investigated
as a means of encouraging further engagement with the
system.
Key learning points from section 1.2
• T718 Review of GB driver training and development of leading practice models for the industry reflected
many common themes across industry roles, identifying strengths of current (driver) training.
• There are several barriers to innovation:
◦ ‘Buy-in’ from all stakeholders – internal and external to the organisation – is a key element in driving
forward initiatives that are aimed at delivering ongoing business improvement.
◦ Corporate considerations, relating to franchise lengths and agreements.
◦ Moving beyond ‘the way things have always been’.
◦ Measuring and documenting ‘competence-based training’.
• The LUL case study highlights ways in which these barriers can be broken, especially with regards to
technological advances in measuring and documenting competence-based training:
◦ LUL use a LMS that is integrated and interacts with other systems, using new platforms, and has buy-in
from senior management.
◦ The LMS allows staff to develop competence and is an open and visible system to all staff. Most courses
on the system are available to all staff (except for some which are relevant to specific operational roles).
◦ The resources are made available via a catalogue, from which an individual can select courses and add
them to an individual learning plan.
◦ eLearning courses can be accessed directly and the system can manage some classroom courses (a
form of diary management).
◦ Materials for these courses are also available on the LMS, as are materials that can be used for face-toface briefings.
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2.Getting the
basics right
Uncontrolled When Printed
Document comes into force 02/03/2013
Getting the basics right
For a comprehensive and effective CMS it is vital to understand the underpinning building blocks.
Section 2.1: looks at the evidence-based competence management system (RSP1) before moving on to discuss
training needs analysis and the factors involved in competence retention.
Section 2.2: provides information on creating and supporting learning within the CMS.
2.1 The evidence-based competence management system cycle
Competence management is an important strategic objective for all companies. The Office for Rail Regulation’s
(ORR) Railway Safety Publication1, Developing and Maintaining Staff Competence2 (RSP1) outlines a competence
management cycle that informs the development, design, execution and review of activities within a competence
management system (CMS):
Phase 1: Establish requirements
for the CMS
Identify activities and assess risks
Select standards
Phase 5: Verify, audit and review
the CMS
Phase 2: Design the CMS
Develop procedures and methods
Verify and audit the CMS
Decide how to meet the standards
Review and feed back
Establish requirements for training,
development and assessment
Maintain managers’ competencies
Phase 4: Maintain and develop
competence
Monitor and reassess staff performance
Phase 3: Implement the CMS
Update the competence of individuals
Select and recruit staff
Manage sub-standarded performance
Train, develop and assess staff
Keep records
Control activities undertaken
Figure 6: Competence management system cycle (from RSP1)
In RSP1, the ORR states that ‘’the purpose of a CMS is to control in a logical and integrated way activities within a
company or organisation that will assure and further develop competent performance at work. The aim is to ensure
that individuals are clear about the performance that is expected of them, that they have received appropriate training,
development and assessment, and that they maintain or improve their skills over time’. The cyclical process is
designed to continually improve competence.
The CMS cycle consists of principles (the bulleted points in the diagram above) that are linked to the five phases in
the cycle above. The principles define key safety objectives that should be achieved as part of a CMS. For further
information on the CMS cycle and complying with legislative requirements from RSP1, please refer to the ORR guide8.
References are made to the CMS cycle throughout this document to demonstrate how good practice aligns with each
of the five stages.
See Appendix A: Relation of RSP1 CMS Phases with GPG sections and case studies for a table showing where each
section and case study of this GPG fits with the RSP1 CMS cycle above.
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The vital starting point for effective CMS is the accurate identification of training needs. As shown in the ORR model,
this should reflect the risks inherent in the role to be trained. The skills required to carrying out phase one of the CMS
means that different analysis, eg job analysis, task analysis, are required to be carried out to lay a solid foundation
on which to build upon the other stages of the CMS (see section on phase one in the RSP1 document2 for further
information).
2.1.1 Training needs analysis
Training is only beneficial if it is based upon an analysis of needs or requirements and designed in a way that ensures
that these requirements are met. A Training Needs Analysis (TNA) can be utilised to formally identify the current or
anticipated gaps in knowledge, skills and abilities, at an individual, team or organisational level.
As a TNA is also concerned with identifying what the important outcomes of the training programme should be, the
more precisely a training need is specified the more focused the training can be. Thus TNA also has an important
impact upon whether training is even required, and how the training is designed, delivered and evaluated. Moreover, it
is only possible to know if training has been beneficial if its success is evaluated which could lead to further reviews of
the TNA itself.
The choice of methods to include in training (see section 3.1 on ‘Learning: Methods and structure’), for example onthe-job training (OJT), is dependent on the trainers’ understanding of TNA, for example a novice or inexperienced
learner may require more OJT than an experienced learner. A TNA also provides some scope for choosing the
appropriate methods for designing the system to be implemented (see section 2.1 on ‘The evidence-based
competence management system cycle’). Establishing the requirements of a CMS begin with the identification of
system requirements which involve identifying activities and assessing risks (phase 1 of the RSP1 cycle). This will
involve applying a TNA.
TNA helps to identify training requirements and their implications for everyone who works in your organisation. It is
a flexible procedure, with a choice of supporting tools and techniques. You can use it repeatedly, generating clearly
defined products and providing an audit trail for all training decisions. The diagram shows three key stages and
products.
Stage 1: Operational task analysis
Produces a list of tasks, together with how well they need to be done
(ie the required performance standards).
Stage 2: Training gap analysis
Produces Training Objectives that specify the additional training requirements that need
to be addressed, compared with current arrangements, and are described in terms of the knowledge,
skills and aptitudes that people will need to acquire.
Stage 3: Training options analysis
Examines alternative ways of accomplishing the training, and finds the option that is
most cost-effective.
Figure 7: Stages and products of a standard training needs analysis
2.1.2 Risk-based training needs analysis
To identify how risks associated with tasks can be minimised and used to support decisions about competence
development/management activities, RSSB developed a Risk-Based Training Needs Analysis (RBTNA) methodology.
It is a process and template that allows companies to minimise risks associated with tasks through learning,
assessment and competence management activities, which are aligned to both learner and business needs.
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Getting the basics right
Data from the RBTNA is used to support Principles 1 to 5 of RSP1 (as per the cycle displayed on the previous page),
by ensuring that the appropriate planning takes place at phase 1 and 2 - establishing the requirements and designing
the CMS, and that audits of the CMS are evidence-based.
The RBTNA methodology comprises of three main stages:
Role definition
This is achieved by scoping out the role, breaking it down into tasks and mapping skills
(including non-technical skills) and knowledge requirements to them.
Training needs priority assessment
Different training priorities can then be assigned to the tasks through an enhanced version of DIF (difficulty, importance, frequency) analysis which incorporates objective safety risk data.
Training options analysis
The potential and feasibility of various learning and assessment methods and media can be
explored during the training options analysis.
Figure 8: Three main stages of RBTNA
Stage 1: Role definition
The role being analysed is broken down in an organised way (into goals and tasks), to a level of detail that allows
different training priorities to be assigned. This breakdown is mapped to national and company competence standards.
Stage 2: Training needs priority assessment
This is the process by which priorities for training and assessment for the various tasks within a job role are
established. It helps to ensure that training (including refresher training) and assessment reflect the nature of the tasks
and the safety risk associated with them. It uses structured and validated subject-matter expert judgement, as well as
data from the RSSB’s Safety Risk Model. It also acknowledges wider business risk.
Figure 9: RBTNA training priority assessment overview
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Stage 3: Training options analysis
The Training Options Analysis takes the data identified during the scoping study about the target audience (ie the
learners) and other characteristics of the role being analysed, and combines it with data about business needs (usually
an operational requirement for a certain amount of personnel to be trained within a certain time frame), resources
(including training infrastructure and staff) and budget available for training and assessment.
This allows informed decisions to be made about the optimum methods and media for competence development
activities.
Applying the RBTNA model
The RBTNA template was initially developed as part of the T718 project Review of GB driver training and
development of leading practice models for the industry16. The methodology was developed in conjunction
with several companies, particularly Arriva Trains Wales who are subject of a case study in this GPG – Case
study: Arriva Trains Wales’ approach to simulators as a learning tool’ – and aimed at translating guidance into a
workable methodology.
Having developed a process and template for RBTNA as part of R&D project T718, phase Three16, the
methodology was applied to customer service roles. It also provided an opportunity to apply completed RBTNA
data to support decisions relating to a review of a competence management system at Heathrow Express and
the development of a pilot course at Arriva Trains Wales.
The project allowed for the trialling of new approaches to the RBTNA process, including using video bursts to
support the written user guide. This resulted in iterative changes to the methodology and template as various
usability issues were identified.
The key findings of the project relate to how data from the RBTNA is used to support Principles 1 to 5 of the
ORR’s Railway Safety Publication 1, Developing and Maintaining Staff Competence. This has led to new
guidance being developed about the relationship between an RBTNA and components of a competence
management system. In particular, how the RBTNA can inform the structure and content of competence
standards, how training priority data can be used to support decisions about CMS procedures and methods, and
establishing requirements for training, development and assessment.
The project concluded that while the RBTNA can be used to support decisions about a discrete component of
a competence management system, such as an initial training programme, there are considerable advantages
and efficiencies to be gained from using RBTNA data to inform and validate decisions across all competence
management activities.
A separate project was undertaken with Heathrow Express which saw the methodology applied to the redesign
of a competence management system for customer service staff, aligned to Phases 1 and 2 of the CMS cycle
above. The project highlighted the role of technology in making the use of ‘richer’ competence profiles.
It can be used to support decisions about competence development/management activities. Because of this,
RBTNAs for different roles should be reviewed regularly, particularly when any changes to the role are made,
including processes and procedures.
The RSSB RBTNA template is available for RSSB members to use. See the RSSB website for more details.
2.1.3 Competence retention factors
One of the factors that influences what difficulty rating subject-matter experts choose for each task within the RBTNA
is competence retention, or ‘skills fade’.
Traditionally, the frequency of re-assessment and refresher training has been decided based on historic precedence
rather than evidence-based reasoning. The frequency of such interventions is usually based on custom, practice and
standards (withdrawn Railway Group Standards or company standards), rather than a formal assessment of the needs
of the organisation, job and the individual.
Research and Development project T717 A model for optimising competence retention in the rail industry (skills
fade)17, aimed to provide the rail industry with evidence-based guidance and solutions to assist it in making more
informed decisions about how to maximise the retention of competence in the workforce.
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Competence Retention: R&D project T717
In summary, the overall aims of the T717 A model for Optimising Competence Retention in the Rail Industry
(skills fade17) research were three-fold:
• To determine and then raise awareness across the rail industry of the breadth of factors influencing staff
competence retention.
• To provide examples of ways to manage competence retention.
• To develop and present a tool to support organisations and their optimisation of competence retention.
The project aims were addressed through a diverse schedule of activities that included:
• A literature review of over 200 papers and reports
• Stakeholder consultations (workshops and interviews)
• Follow up stakeholder feedback
• Review of the RSSB Human Factors Incident Database
The literature review identified over 80 factors influencing competence deterioration and 15 techniques for
managing skills fade. These factors were distilled into a set of 29 competence retention factors which related to
four main areas (the organisation, the job, the individual, and training and assessment). These four key areas
formed the basis of the Good Practice Guide: Competence Retention18.
The Organisation, eg
The Job, eg
Complexity, Stability, Culture, Staff
Turnover, Policy (Competence
Management Systems) and
Working Practices.
Task Frequency, Difficulty, Workload,
Task Type (Cognitive, Physical), Job Aids,
Work Environment and Team Working.
Training & Assessment, eg
The Individual, eg
Training Requirements, Media and
Methods, Instructor Competence,
Assessment Approach and
Training to Performance Lag.
Fatigue, Alertness, Prior Experience, Attitude and
Motivation.
Aptitude, Learning Styles, Personality,
Figure 10: The breadth of ‘what influences’ competence retention from the
Good Practice Guide: Competence Retention18
Competence Retention Decision Support Tool
A set of questions, relating to each of the four main areas, were devised to form the Competence Retention
- Decision Support Tool (CR-DST). Each question was aligned with guidance within the main body of the
document to ensure understanding, as well as providing sufficient reference material for the decision-tool
prior to its application within an organisation. The CR-DST is available from within the Good Practice Guide:
Competence Retention18.
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Key learning points from section 2.1
• RSP1 outlines a competence management cycle that informs the development, design, execution and review
of activities within a CMS and provides guidance on complying with legislative requirements.
• The RBTNA model can be used to minimise risks associated with tasks through learning, assessment and
competence management activities.
• Further guidance on making informed decisions about how to maximise the retention of competence in the
workforce can be sought from the Good Practice Guide: Competence Retention.
• Guidance on using the RBTNA methodology can be found at www.rssb.co.uk under research project T718.
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2.2 Creating and supporting learning
As outlined in the previous section, one of the main barriers we currently face is that competence and learning is often
regarded as something that is done to you, and it is not always seen as the active and continuous process it should
be.
In this section, background information is provided on the following:
• The learning process
• The organisational culture of learning
• Continuous learning and how to promote it
• How information is processed and individual differences in learning
The section finishes with practical guidance on how to support a culture of dynamic learning and some key learning
points.
2.2.1 What is learning?
This fundamental question underpins all the efforts of anyone involved in competence development. Learning is a
feedback process that involves:
• Providing information, familiarisation and understanding of the task environment.
• Transfer of knowledge (cognitive learning).
• Practice of skills to carry out tasks (psychomotor learning).
‘Learning’ is also a continuous process and results in a change of behaviour with the development of new skills and
knowledge.
For example:
• Slipping over on a wet platform, leading to a more cautious approach to walking on it next time.
• Reading and understanding a change in procedure resulting in the conscientious performer carrying out the
procedure according to the new method, rather than the old.
• Resolving a fault with equipment through trial and error resulting in a different strategy next time the fault occurs,
which makes it quicker to resolve.
2.2.2 The learning process
The diagram on the next page (figure 11, adapted from RSP1 section 2.1) indicates a progression that an individual
or team may go through when learning and the scenario of learning to drive a car can be used to illustrate the cyclical
progression:
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Unconscious incompetence
(unaware of limitations):
A new driver with no or very limited
experience of driving a car
Individual presented with a new job or task,
or assessed as not competent:
The driver might be caught for speeding and has to resit their
driving test. The driver may be unaware why they are having
difficulties until they receive feedback or further training
Conscious incompetence
(during training and development):
Takes lessons and learns that they do not yet know what all
the dials and components of a car are called, and that they
have limited competence to drive a car
Unconscious incompetence
(develops bad habits or lapses):
Over time, bad habits develop and lapses occur, such as
driving above the speed limit, failing to use an indicator to
signal a move, and driving with one hand on the steering wheel
Conscious competence
(trained and assessed as competent):
Builds the knowledge, skills and behaviours through
their instruction. This develops further and they eventually
pass their driving tests
Unconscious competence
(develops good habits):
The driver is qualified and builds experience of driving on the
road without instruction, using their skills, knowledge and
good behaviour learnt in the instruction phase
Figure 11: Stages of competence development/learning – adapted from RSP1 with the
example of driving a car using these stages
Although the diagram represents the stages in a cyclical progression, the progression from one stage to another is not
inevitable and some caveats can be applied:
• It is possible to ‘jump’ stages, depending on the needs of the learner at the time. For example, an individual
may well be presented with a new or updated task without having lapsed into ‘unconscious incompetence’ when
performing the original task.
• It is possible to make an error or lapse without progressing into ‘unconscious incompetence’. Errors are an
inevitable part of carrying out highly skilled tasks and rarely does making an error imply incompetence. In this way
errors are consequences rather than causes and other system factors are more often the cause.
• As RSP1 points out, ‘unconscious incompetence’ can be avoided through appropriate competence development
activities, such as refresher training, monitoring and assessment. Consideration of competence retention factors
(see section 2.1.3 ‘Competence retention factors’) is crucial in determining the scope and nature of these activities.
• As the learning may be initiated by the learner, who can then proceed to develop their own competence, the
process does not always have to start from ‘unconscious incompetence’.
2.2.3 Learning within the wider organisational safety culture
Competence development is an integral part of an organisation’s safety culture. As such, it is important that
competence management systems also apply to managerial grades, not just frontline staff.
Managers, but more especially leaders, can help create an open atmosphere of communication and co-operation
where competence is seen as something that is continually developed, rather than as a means to trip employees up.
In other words, every opportunity for learning is seized, at every level, as a positive thing.
To this end, it is essential that competence is not seen as something that is ‘done to you’, by the company, but
as something that each individual or team owns and has control over. This can be achieved through providing
opportunities for open dialogue outside formal learning/assessment processes, between managers and staff, in a
supportive and confidential environment, and from peer to peer.
New entrants to a company, particularly where they have come from companies with a different culture, will need
development to adapt to the prevailing organisational culture of their new company.
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2.2.4 Continuous learning and how to promote it: ‘Dynamic’ learning
The formalisation of training and assessment in the rail industry has, unfortunately, perpetuated the phenomenon of
competence being something that is ‘done to’ staff, rather than being framed in a way that makes it possible for staff to
take charge of their own competence.
‘...there is a new era of change confronting organisations today. This unpredictable, unrelenting and unforgiving
environment of change requires organisations to cultivate dynamic learners – learners who know how to be rapid,
adaptive, and collaborative in how they learn, unlearn, and relearn.’ (Gottfredson and Mosher, 201119)
The main principle behind the concept of ‘dynamic’ learning is that it is no longer enough to learn how to do something,
no matter how well, then go through a career ‘keeping your head above water’ (or, in many cases, having it kept above
water for you). There is a need to constantly challenge what you think you know and can do, especially when faced
with change.
2.2.4.1 Inspiring ‘dynamic’ learners
‘...learners are not empty vessels into which you can pour whatever knowledge you would like them to have...learners
are in the driving seat, not you. They determine what it is to which they pay attention; they decide whether or not to
make the effort to transfer what they have learned into long-term memory; it is their mental models into which the new
knowledge will be integrated, not yours. There is a massive difference between what is taught and what is learned’
(Shepherd, 201120).
Within a culture of dynamic learning, it is not enough to ‘do’ competence. Learners need to be inspired to develop and
maintain their own competence, supported by their companies, managers, training staff and peers.
2.2.4.2 Characteristics of learners
As everyone is different, the first thing to establish is the characteristics of individuals and teams of learners. In
particular, how they learn and when they need to learn. It is as important to help learners understand this about
themselves as it is for others to determine it.
The five moments of learning need (Gottfredson and Mosher, 201119):
’In order for a learning ecosystem to be complete, it must support the entire journey performers make from the
beginning stages of learning through the full range of challenges that can occur at the moment of Apply, ie when
they are called upon to actually perform:
1. New: When people are learning how to do something for the first time.
2. More: When people are expanding the breadth and depth of what they have learned.
3. Apply: When they need to act on what they have learned, which includes planning what they will do,
remembering what they may have forgotten, or adapting their performance to a unique situation.
4. Solve: When problems arise, or things break or don’t work the way they were intended.
5. Change: When people need to learn a new way of doing something that requires them to change skills that
are deeply ingrained in their performance practices’.
Managers and training staff can help develop learners’ ability to ‘know what they know and what they do not know
(metacognition), and to know how best to learn’ (Dror, 200721). This is effectively helping learners realise when they
need to develop their own competence (‘conscious incompetence’, in RSP1). Without this shift, they are unlikely to be
‘dynamic’ learners.
A good way of helping this is to provide clear competence standards, underpinned by a comprehensive RBTNA (see
section 2.1.2 Risk-based training needs analysis). Supported by managers, learners can extrapolate their individual
training needs from the RBTNA for their role, ensuring competence development activities they undertake are
appropriately targeted to their needs.
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2.2.5 Individual differences
In addition, there are numerous models which describe how adults learn and outline the particular characteristics of
adult learners. Viewed in isolation, some of these may appear unhelpful without the context of how they can affect
what competence development activities are offered to learners.
Recent research projects have been able to offer some of this context to the theory. Examples of these projects are
shown below.
2.2.5.1 Information processing
Information processing models examine the way that learners acquire, process, store and recall information. This
is important to understand when designing competence development activities, as it can radically impact their
effectiveness and efficiency, in turn affecting learner motivation.
The diagram below represents an information processing model by Gagne (1974)22 that was used during adult
learning workshops with rail industry training staff, as part of the development of the T718 Review of driver training
programmes in Great Britain railways: Adult learning and innovation report23.
Figure 12: Gagne’s (1974) Information Processing Model
In the model, information is received by the learner from the environment, but there is so much information that most of
it is filtered out by the ‘sensory register’. Therefore, learning activities need to highlight the most important information
to ensure it passes into short-term or ‘working’ memory.
Short-term or working memory, as the name suggests, only holds information for a short time and has a limited
capacity. From here, it can be ‘encoded’ into long-term memory. This is often done through association with something
already in long-term memory. This association may also be the key to bringing the information out of long-term
memory so that it can be used to generate an appropriate response or behaviour.
The whole process is influenced by the ‘executive control’ of the learner, ie their motivation, and the learners’
expectancies.
This general model is useful for explaining the stages of information processing and factors that can influence it. (For
more information on the information processing model together with other cognitive and individual factors than can
influence error, please refer to RSSB’s Good Practice Guide on Cognitive and Individual Risk Factors24.)
2.2.5.2 Cognitive styles
It is also important to recognise that people process information in different ways. T441 The effect of adult learning
styles on the use of technology-based training25 uses Riding and Cheema’s (1991) Cognitive Styles Analysis (CSA)26,
a brief computer-based assessment which measures an individual’s ability to process information on two dimensions:
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The Wholist-Analyst dimension
measures how individuals organise
information into whole or parts.
Wholists see the bigger picture,
whereas Analysts like to break down
information into constituent parts.
The Verbaliser–Imager dimension
measures how individuals represent
information. Verbalisers tend to like
words, whereas Imagers process
information in picture format better.
Figure 13: Riding & Cheema’s (1991) Cognitive Styles Analysis (CSA)
It is important to note that Riding’s analysis works on the basis that cognitive style is fixed, ie individuals cannot
adapt their cognitive style. Unlike other measures of cognitive style, CSA has been subject to a substantial amount of
empirical research. Several researchers have found the CSA to have a high level of theoretical support (or construct
validity) but weaker results for its reliability and validity (see Rezaei & Katz, 200427; Davies and Graff, 200428).
Peterson et al. (2003)29 further enhanced and improved the reliability of the CSA by creating a new measure of VerbalImagery Cognitive Style (VICS). This scale can be used alongside the CSA’s wholist-analyst scale.
The T441 research project assessed train drivers and signallers and found that the former, in particular, were notably
skewed towards the Analyst and Imager ends of the dimensions. The project also assessed rail industry employees’
short-term working memory capacity using the Information Processing Index (IPI), also developed by Riding (2000)30.
The results showed that learners with a higher working memory capacity are better equipped to deal with the demands
of learning material. The results also suggested that Wholists and Imagers are less dependent on working memory
capacity than Analysts and Verbalisers.
From a practical perspective, Analysts and Verbalisers with lower working memory capacity can improve performance
by having the load on working memory reduced. In this respect, learning and assessment design that includes some
form of memory jogger, or by the learner taking notes could enhance performance. The provision of checklists and
other cognitive tools can also help. Similarly, designing learning needs to consider the extent to which the learning
activities are placing unnecessary demand on working memory – perhaps by providing more segmentation of learning
activity.
One of the recommendations from the T441 project was that an awareness of train drivers’ cognitive style can facilitate
the design of more effective training and assessment for that group. This clearly has performance, safety and financial
benefits.
2.2.6 Adult learning styles
Most adult learning style models work on the basis that learners have preferred styles that can be developed. T589
Consideration of Adult Learning Styles and Assessment Processes in the Rail Industry31 used one of the most
widely applied models – Honey & Mumford’s (2006) Learning Styles Questionnaire32. Developed from Kolb’s (1984)
Learning Styles model32, the Learning Styles Questionnaire measures four different learning styles preference: Activist,
Reflector, Theorist and Pragmatist. General descriptions of the four learning style preferences are in the figure on the
next page.
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Activist:
Enjoys new and challenging activities and
benefits most from learning through experience
and working with others
Reflector:
Prefers to view things from different perspectives
with an opprtunity to plan ahead, attend to detail
and look for the meaning of things
Honey & Mumford's
learning style
preferences
Theorist:
Benefits most from learning through models,
theories or concepts, and analysing ideas
logically within structured environments
Pragmatist:
Learns most easily through immediate practical
application of activities, with an obvious link
between subject matter and 'real-life' applications
Figure 14: Honey & Mumford’s (2006) learning style preferences descriptions
It is possible for a learner to have no strong preferences or to have four strong preferences. An individual’s learning
style preference will tend to be reinforced over time and in this way become a habit. The four learning styles are also
linked33. These can be described as the steps we go through when we learn:
Activitst
Having an experience
Pragmatist
Planning the next steps
Reflector
Reviewing the experience
Theorist
Concluding from the experience
Figure 15: Honey & Mumford’s learning style preferences - steps we go through when we learn
Understanding learning styles is a good way of improving the effectiveness and efficiency of different learning
opportunities.
The T589 project assessed the learning styles of 246 rail industry trainers from various fields. The results showed that
a large proportion of trainers have only one strong learning style preference. Generally, rail trainers were shown to be
skewed towards a low or very low preference for Activist, Reflector and Pragmatist.
A comparison with a group of apprentices and the general characteristics of adult learners suggests that if trainers
only facilitate learning activities according to their preferences, these activities may be different and therefore not as
effective for the learners.
The T589 project also used Richardson’s (1977) Verbaliser-Visualiser34 questionnaire to establish a preference for
verbal or visual information (in a similar way to Riding’s CSA outlined above). The results from this exercise showed
that the rail industry trainer population was highly verbal.
The combined results of the Honey & Mumford and Richardson questionnaires were confirmed through peer review of
training materials, which were found to be very theoretical and very ‘wordy’, consisting mainly of verbal extracts from
rules and procedures. The focus was found to be on memorisation of these rules and procedures, whereas sometimes
it may be more appropriate to provide support materials for use on-the-job, to reduce cognitive/memory load (see
section 2.1.3 ‘Competence retention factors’).
When contrasted with the apprenticeship population, which was strongly visual, as well as the UK population in
general, it could be argued that there is a divergence between the methods and materials used by training staff,
compared to the needs of learners. The next section gives more detail about ‘blended’ learning.
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Practical application of the conclusions from projects T441 and T589
How can the conclusions from the two projects be taken forward in a way that supports a culture of dynamic
learning?
• Ensure trainers and learners have a good understanding of their cognitive/learning style preferences,
so that they can adapt accordingly
If trainers are aware that they process information in a certain way, or have one or two strong learning style
preferences, they can ensure that learning and assessment they design and facilitate is not dominated by
material that reflects only these characteristics.
It is vitally important, however, that learners also adapt and develop their learning style preferences to get the
best out of as many learning opportunities as are presented to them. It may be appropriate to help learners
develop study skills that they may not regard as ‘coming naturally’ to them.
• Adapt competence development activities, systems and processes to reflect cognitive style
characteristics of different roles
It is impossible to cater for each individual, but cognitive-style tendencies may have an impact on
performance of certain tasks on the job, as well as competence retention. It may be necessary to develop
strategies for situations which do not fit with the cognitive style profile of the role/individual.
For example, the T441 project showed that train drivers tend to be analysts. This may mean they are not so
good at ‘seeing the bigger picture’. During tasks such as fault finding, which appeal to analysts, they may
not as readily realise the effect of time-consuming fault-finding activities on the rest of the rail system. This
element of the task may require the most competence development.
Processes and systems, including performance support materials, may also need to be adapted to
acknowledge significant cognitive style trends within a role.
• Ensure that a blended approach to learning and assessment is adopted, eg using a mix of verbal and
visual material. See section 3, particularly 3.1 on ‘Learning: Methods and structure.’
The case study below highlights good practice from the airline industry and focusses on the organisational and individual factors that
influence ownership of learning.
Case study: British Airways – inspiring learners and developing
competence from beyond the railway industry
A pilot’s perspective
According to a British Airways (BA) Captain, pilots are keen on taking personal ownership of learning.
Organisational culture factors seem to play a part in how pilots are able to take responsibility for their own
development compared to the railway industry and train drivers.
Post-training competence maintenance
A competence management system is in place for all flight staff. All pilots go through an intensive and
challenging training process that involves classroom-based ground school instruction, flight training and jet
simulator training. After training is complete and the pilot is gaining flight experience as a first officer, BA help
pilots maintain their competence through proficiency checks and operational training. A commercial pilot’s
licence allows the pilot to take command of a specific aircraft and is only valid if the pilot maintains the annual
licence proficiency check which occurs in a flight simulator.
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If a proficiency check is missed at any time through a pilot’s career their licence lapses. This effectively
means that the pilot has to go through training again; the amount of training is dependent upon the duration
of the lapse. At BA, operations checks occur twice a year which allows for competence to be refreshed and
maintained. If these training sessions are missed pilots cannot work for the company until a session has been
completed. If the pilot fails any of the assessments, then they would be re-trained; eventually it is possible that
they could lose their licence. Once every 18 months there is a line check where a senior officer sits behind the
pilot to check the operation of normal procedures. For some of the assessments, the pilots know what they are
going to be assessed on so that they are prepared for the area, in other assessments they are unaware of the
content beforehand. When it comes to the simulation checks, the pilots’ job is on the line therefore preparation
responsibility is very high. In this regards, learning is in the hands of the pilot.
Support
Outside of the assessment procedures pilots have other resources to gain additional learning. There are
opportunities to book onto spare time slots available for simulation and top-up on specific scenario experience
during such sessions. There are also quarterly and monthly online pilot forums where pilot managers are
available to answer questions. This can prove useful for cross-discipline issues and learning points for others,
eg extended talks on engine and fuel tanks. If pilots have any free time they can log on and have chats on
these forums. On the BA intranet, all flight and aircraft specific manuals and procedures are available. The BA
learning academy is broken into fleets – there are videos with scenarios in simulations and these can be used to
enhance learning.
Learning is supported by a network of people that comprises of pilots and non-pilots. After a pilot joins BA a
mentor is allocated and there is a social function where pilots are introduced to their mentors. Although it is
possible to have follow-up sessions with them, pilots are able to talk and ask anyone for support. Trainers are
split between fleet management for airplane types and they can be approached for non-piloting administrative
issues and training-related issues, whilst duty flight crew managers can be approached for operational issues.
The ‘training the trainer’ course allows trainers to understand how people learn and are made aware of their own
learning styles. These are actively used in training sessions and consequently, it is part of the course design
with different activities covering each learning styles. As such, training is often a blend of theory and practical
exercises, time for reflection as a group and individually and pragmatic elections, where opportunities to present
are provided to obliging volunteers. This caters for all learning styles in each session.
Motivation
There is a genuine need for continuous assessment of personal health, fitness and of technical and flying
competences due to the high risks associated with flying, and therefore to remain competent the strict standards
must be maintained. Whilst the assessment and training programme is rigorous it is also fair because BA wants
pilots to be prepared to fly all year round and therefore these operation simulator checks allow pilots to take
ownership of their abilities. The regularity of the checks give added focus and incentive to the pilot to pass and
maintain competencies.
Within the airline industry there is a culturally accepted norm regarding safety. Being a pilot comes with the
responsibility and pressure of always being prepared to fly in any conditions and coping with errors. Although
the risk of making mistakes is considerably reduced by sophisticated technology, and the training and
experience a pilot goes through before being allowed to fly a plane, this perspective reminds pilots of their duty
and responsibility to themselves and others and about the personal preparation required for safe travel. A pilot’s
motivation is to stay alive and to do the job to the best of their ability.
Establishing a culture of learning – a management perspective
Safety research has shown that human error is a primary contributing factor in the majority of incidents and
accidents in the aviation industry. Consequently, British Airways and many other airlines have put considerable
emphasis on pilots understanding of human performance, limitations, attitudes and behaviours, alongside the
technical aspects and practically applying human factors principles to reduce safety risk.
The pilots’ focus is from a safety perspective and they take personal responsibility for this (as expressed in the
pilot’s view above). The company manages pilot performance to ensure they remain safe and competent. Apart
from the continuous assessment pilots engage in, competence management also involves gathering evidence
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from numerous sources that constitutes best value for money. This includes safety data, feedback from pilots
and flight records data. Where the evidence shows that performance is not as good as expected BA look at
what this the evidence shows about competence. Competence is maintained and improved and not constrained
by formulaic training or requirements set by regulation; instead it is related to real-world issues with the set of
competencies designed for the working environment.
Safety and training
Where human error in safety reporting is involved, pilots need to understand the causes and why, not just the
what, occurred. Cognitive task analysis is therefore used for incident investigation with crew and the responsible
manager. A segment of the flight is used to check the crew’s understanding of policies and the group is asked
how they might normally carry out specific tasks. Discussions help to identify any holes in their knowledge and
if someone has been found to be negligent (wilfully or not) the appropriate action is taken to address the poor
judgement of that individual. BA embraces a ‘Just Culture’ which means supporting a culture in which individuals
are not punished for actions, omissions or decisions taken by them that are commensurate with their experience
and training but where gross negligence, wilful violations and destructive acts are not tolerated.
Experience suggests that error is more often related to workload prioritisation and management of distractions.
BA taps into the pilots understanding of how to mitigate potential threats or hazards which have been identified
previously and therefore the company is able to plan ahead for these. Sometimes these concern thinking about
and knowing what to do. For example, if a pilot is startled by a situation where they are losing control of their
plane when landing a plane under stormy weather conditions, the information presented to them can become
confusing and sifting through the information by knowing what is vital to the situation becomes very important.
Following policies and procedures is not enough in such situations and therefore risk is mitigated by talking
through and understanding why they do what they do, in particular with reference to workload prioritisation and
management of distraction.
The airline industry’s Safety Plan35 describes the mechanism in which improved safety performance will be
seen across the airline industry. The plan looks at industry risks and identifies types of accidents, eg runway
excursion, out of control, fires, mid-air collisions, flying into the ground, etc. Data is collected and analysed for
precursors to accidents or events. Traffic collision avoidance systems work with various on-board equipment.
This includes the transponder which shows how close one plane is to another, and tells the pilot which
manoeuvre to carry out. For an accident to occur in the first place though, there are errors that will have
caused this; gross miscalculations of some sort, not following the course, wrong auto-pilot setting etc. All of
this information is trended and therefore the risks have been identified with the consequences. The industry
therefore understands and manages the types of errors made – human or system – with regards to the risks
involved.
Flight training for pilots and cabin crew
BA’s flight training provides aircraft type conversion courses and ongoing training to flight crew, both from within
the company and from for other airlines. Flight and cabin crew are provided with refresher or full training courses
in Safety and Emergency Procedures and technical training is provided for British Airways Engineering.
For safety and cost reasons, almost all training takes place in simulators. BA’s training facility near London’s
Heathrow Airport, houses 17 full flight simulators and further cabin simulators and engineering training
simulators. Simulators are full-motion and fixed based and provide opportunities for practising a range of
scenarios in both a cabin and flight deck environment. Classrooms-based training allows the use of videos
and CD via PC. The training facility runs 24 hours a day and 365 days a year, to maximise on the company’s
investment and provide training opportunities at all times to pilots who work at various times of the day or night.
Delivery of training
The Flight Technical Training courses allow pilots to gain and maintain their aircraft-type approval, and most are
delivered by experienced BA pilots who are accredited Training Captains or Training Co-Pilots. Trainers combine
their training duties with operational flying duties within their role. Apart from cabin related training, all safety
training is delivered by pilots. BA has found that the attitudes of the trainers affect pilots; all trainers are pilots
before becoming trainers and this builds credibility and trust.
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As a topic area, leadership was seen as being more difficult to cover because it was seen as a ‘woolly’ subject,
delivered by the training centre. Changes to the training programme meant that experienced pilots now deliver
this subject and pilots learn through discussion and story-telling of situations.
Performance feedback from training is provided by trainers on both technical and human performance. The
training looks at details regarding speed, approach etc, and also how well flight and cabin crew worked
together as a team. This facilitates the relationships of pilots by discussing the successes, technical issues and
addresses behavioural issues allowing individuals to understand and recognise how their behaviour impacts
others.
Recently an initiative called ’Beyond the flight deck’ was introduced that aimed at expanding the role of the pilot
and increasing the frequency and quality of interaction between pilots and customers. Also, the programme is
working towards building one on-board team by addressing communication issues with the flight and cabin crew.
Pilots are generally very technically sound and understand the tasks; this programme allows them to focus on
leadership and develop effective customer service and communication skills.
Key learning points from section 2.2
• Learning is defined as something that leads to a change in behaviour whether or not the learning is used
immediately or otherwise.
• There are six stages of competence development for learning, as defined in RSP1.
• It is important to create an open atmosphere of communication and cooperation when learning opportunities
are seized and learning is continually developed - competence should not be seen as something that is
‘done to you’ (as a learner), by the company, but as something that each individual or team owns and has
control over. Empowering learners with control over their own learning helps with achieving more positive and
effective learning outcomes.
• Dynamic learning is about a need to constantly challenge what you think you know and can do, especially
when faced with change. It is not enough to ‘do’ competence. Learners need to be inspired to develop and
maintain their own competence, supported by their companies, managers, training staff and peers.
• Guidance on making informed decisions about how to maximise the retention of competence in the workforce
can be sought from the Good Practice Guide: Competence Retention18.
• Guidance on the information processing model together with other cognitive and individual factors that can
influence error, can be found in RSSB’s Good Practice Guide on Cognitive and Individual Risk Factors24
• Practical application of research reports T441 and T589:
◦ Ensure trainers and learners have a good understanding of their cognitive/ learning style preferences, so
that they can adapt accordingly.
◦ Adapt competence development activities, systems and processes to reflect cognitive style characteristics
of different roles.
◦ Ensure that a blended approach to learning and assessment is adopted, eg using a mix of verbal and
visual material.
• Please refer to research outputs for T718 Review of GB driver training and development of leading practice
models for the Industry14 for information on the review conducted on driver training programmes on GB
railways.
• For more information on the research conducted on adult learning styles, refer to T441 The Effect of Adult
Learning Styles on the Use of Technology-Based Training25 and T589 Consideration of Adult Learning
Styles and Assessment Processes in the Rail Industry31. Information on Riding’s Cognitive Styles Analysis
and Information Processing Index, Honey and Mumford’s Learning Styles questionnaire, and Richardson’s
Verbaliser-Visualiser questionnaire, are provided in these research reports.
• The BA case study highlights the impact an organisation’s safety culture, assessment and training processes
and associated support mechanisms can have on trainee’s taking ownership of their own learning. The BA
approach suggests a more dynamic culture of learning could also be developed within the railway industry.
www.rgsonline.co.uk
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In designing the CMS (phase 2 of the RSP1 model), there are important considerations in deciding what learning
methods should be used, what the aims and objectives should be and what the structure should be.
Section 3.1: outlines the learning methods and structure that can be used, and the integration of non-technical
skills into traditional ‘technical’ training programmes.
Section 3.2: looks at standards assessment methods roles and documentation associated with competence
reviews and assessments.
Section 3.3: looks specifically at the application of simulation as a method of assessment and learning.
3.1 Learning: Methods and structure
From the wide variety of initiatives, both within individual companies and across the industry, it is fair to say that
training and assessment in the industry is evolving. Having said that, there is a huge amount of work to be done to
move away from some of the one-dimensional, ‘chalk and talk’ or ‘death by PowerPoint’ training programmes of the
past.
The amount of jargon and ‘popular psychology’ in the learning and development (L&D) world can sometimes be
difficult to cut through. Therefore, it is useful to try and break down different learning and assessment methods into
different categories.
3.1.1 What is truly ‘blended learning’?
Blended learning is a fashionable term within the learning and development world, but there has been some confusion
as to what it means. For some, it means a blend of traditional ‘classroom’ training with eLearning, particularly the more
narrowly defined computer-based training (CBT).
However, in the words of Clive Shepherd, a pioneer in this area of learning, ‘a blended learning solution combines
educational and training methods within different social contexts for learning (self-study, one-to-one, group), with
the aim of increasing learning effectiveness. It may also mix the learning media used to deliver the solution (faceto-face, online, offline, etc.) as a way to optimise the efficiency of the solution. These choices are made in response
to particular learning requirements and audience characteristics, as well as practical constraints and opportunities’
(Shepherd, 200836).
In the context of the rail industry, it is likely that a more useful division is between theoretical and practical training.
This is because most formalised courses tend to be structured so that the theory always has to be learned before any
practical training takes place.
Exploring the structure of training: R&D project T718
The place of theoretical versus practical OJT within a training programme structure is explored in further detail in
the T718 Review of driver training programmes in Great Britain railways: Adult learning and innovation report14.
The report collated summaries of driver training
courses and put them in a graphical format, where
each week was represented by a coloured square.
Figure 16: Graph of driver training courses
(from T718)
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Although there is a detailed key, the overall picture
tells a story. Most courses have quite a clear dividing
line between the two: the blue colours on the left
represent theoretical learning (often based in a
classroom); the orange colours represent on-thejob practical training. Despite the courses being
different lengths (due to the different sizes and types
of operation of the companies surveyed), there is a
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common thread through all of them, ie that most courses have quite a clear dividing line between the theoretical,
often classroom-based learning and on-the-job practical training. This has been the same structure for most
formal training programmes in the rail industry (not just for the driver role) and is contrary to the adult learning
principles explored in the rest of the T718 report.
Since the publication of the report, the industry has been addressing these shortcomings and there has been
some progress towards changing the above diagram to reflect a more blended learning solution. These are
exemplified in the Network Rail case study below and section 5 for Case study: Iarnród Éireann (Irish Rail) –
overhaul of training and competence development activities.
Two case studies – the one below and the Iarnród Éireann (Irish Rail) case study in section 5.2 – highlight approaches
to applying blended learning.
Case study: Network Rail’s AzLM Axle Counter Training
course – moving from a predominantly theory/knowledge
based approach to a truly blended approach
Network Rail runs, maintains and develops Britain’s rail tracks, signalling, bridges, tunnels, level crossings,
viaducts and 17 key stations and is divided into 10 routes.
Network Rail is moving towards a more ‘blended’ approach to training.
The AzLM Axle Counter Training course delivered by Network Rail depends upon the combination of three
important elements:
• The design and development of an appropriate blend of materials and approaches to enable an effective
learning outcome (which does not always mean using the newest and most innovative technology). This is
based on a careful decision making process (analysing needs, designing specifications, developing solutions,
implementing and evaluating).
• A highly competent learning delivery capability to
ensure that learning is effectively facilitated utilising
appropriate training methods.
• State-of-the-art training facilities and resources
to ensure practical meaningful application of skills
elements of the programme in a safe environment.
The Instructional System Design (ISD) methodology is
used to manage the development and review of training
and assessment materials. The process is sometimes
called the ‘ADDIE’ model – an acronym representing
the five phases in the process:
Properly implemented ISD provides training solutions
that are appropriately blended, flexible, have more
relevance and are tailored to suit the intended
recipients. This includes making small pragmatic
changes and leads to improved training design
decisions and results in higher quality training materials
(see Shepherd, 200836). The audience for the AzLM
Axle Counter training course are Signal Engineers
Figure 17: The ‘ADDIE’ model
whose work involves the maintenance, inspection and
renewal of assets that may affect the stability, safety and integrity of the infrastructure and signalling equipment.
It is important that learning blends not only a theoretical underpinning but also development of skills and
practices to safely maintain essential components associated with the asset.
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Axle counters are a method of train detection and have been used on the UK rail network for a considerable
time, but recently the manufacturers of the equipment had their product approved for main line high speed
applications like West Coast Main Line. This resulted in a requirement for the training course to be revamped
and updated to suit today’s competence requirements.
It is a requirement of the ROGS2 regulations that staff involved in safety-critical work are competent.
Competence can be attained through formal training and assessment. The unit of competence that is required
for Axle Counters is defined by the Network Rail Standard NR/L2/CTM/012 – Competence & Training in Signal
Engineering, and in particular the ‘Sig 6’ unit from that standard – Corrective and Preventative Maintenance of
Axle Counters.
A review and update of training course material affords the opportunity to consider a fresh look utilising a
blended learning approach. Several stakeholders involved wanted to raise the competence level of staff from
a competent technician that could work diligently and safely on the asset to a competent and diligent technician
who exhibited behaviours aligned to Network Rail values. This would present a challenge if more traditional
methods were applied because historically, updates to training materials were stimulated from a standards
change and these updates would be included without any thought to the delivery. The trainer would then have
to deliver these changes. Now, through the blended approach to training delivery, any stimulus to change is
validated and then introduced to the event/materials, ensuring that the learning objectives are aligned and
realistic for the audience that it was originally intended.
The training blends a range of methods including PowerPoint to set the scene and describe standards, the use
of props to bring images to life, videos of real life situations and interactive smart-board technology. Effective
fault finding is facilitated through immersion into a real lineside environment that is simulated in a practical layout
within the training centre.
These layouts look and feel like a modern railway layout
but without trains running.
The trainer can now simulate failures on the system
which mimic exactly what the delegates will see back on
the real railway.
During training, a laptop is used – of the same type that
will be used by delegates when back in their depot – to
interrogate the system and is integral in developing
effective fault finding procedural skills behaviour.
Figure 18: Training centre track layout
Following the training, the delegates can go back to
their depots and practice the new skills including nontechnical, knowledge and behaviours during a period of
mentorship, working under supervision and observation
and their line manager will be able to raise the
competence from Level 2, ‘trainee requires supervision’,
to Level 3 ‘competent’.
Prior to attending the Axle Counter training course, a pre-requisite process has been mandated where delegates
are required to access and familiarise themselves with a Trouble Shooting Guide (TSG) that defines the actions
to take during fault finding. This TSG can then be referred to during and after the training course.
For the Axle Counter training course, trainers were involved as subject-matter experts in the development
of the course. They also received a more detailed course so that they would always have the answer, when
challenged by a delegate, and that the trainers could also provide workplace coaching, if required, at the depot.
During the mentorship period, trainers can be requested to attend depots to evaluate the delegates against the
competency unit, which in turn evaluates the training materials and event. Through this evaluation, changes
have been implemented to the training event as and when required.
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The unit of competence (Sig 6) is available during the course at all times. The delegates are encouraged to read
and digest this as it holds the knowledge and performance criteria that they will be expected to fulfil once fully
competent. By allowing some self-assessment, the delegates can approach the trainer with any parts that they
feel they are not quite up to standard on. This element of benchmarking works well and provides the delegates
with ownership of their learning during the event.
During the course delivery, the trainers are always on the lookout for individuals who are finding the course
challenging. If this is identified, then the trainer can offer support during the remainder of the event. The trainer
will also be looking for individuals who are excelling as these can be identified to their line manager as potential
candidates who can act as mentors within the depot.
The trainers are observed twice per year. A technical observation is required for their on-going competence and
this can identify issues that require to be addressed by the line manager. All trainers delivering AzLM training will
be required to have been briefed in the Signal Engineering standards changes that have occurred.
The second observation is based on the learning and development skills that the trainer is required to hold.
These are the skills that allow the trainer the flexibility during the event to coach, lead or direct depending on
the audience (this links to section 2.2.4 of this GPG on ‘Continuous learning and how to promote it: ‘Dynamic’
learning’).
Resources and Facilities
One of the major areas of progress and success within Network Rail in recent years is the establishment of
vastly improved training facilities and the new-build programme of Training ‘Supercentres’ which has greatly
impacted upon improved and enhanced learning and the creation of an efficient, safe learning environment to
establish and maintain best practice in technical and vocational activity across the infrastructure.
Although there are 26 Training Centres nationally, £23m
has recently been invested in four new state-of-the-art
vocational training centres in Larbert in Stirlingshire,
Paddock Wood in Kent, Bristol and most recently
in Walsall. Within the Walsall centre there is a fully
equipped indoor, full-size 60m replica track layout with
signals, a 150m outdoor track as well as indoor welding
facilities.
Figure 19: Training facilities - internal layout
The training facilities utilise a physical layout and mimic
that of the external environment that the delegates will
be exposed to albeit a slightly abridged version. A fully
working AzLM system is installed which looks, feels
and operates exactly as it does on the live railway. Fully
integrated IT facilities ensure that fault finding can be
practised using laptops and software as required.
The fault finding section of the course is derived from
‘Element XYZ’ of the unit of competence and these can be the areas that challenge the delegates due to time
critical aspect of the course content. These times were developed with reliability of the asset in mind and fully
endorsed by the Competence Development Group.
The training centres have quiet areas where delegates can reflect on the learning that they have just received.
This is an important part of the AzLM training as the key skill of fault finding takes more than one attempt to
embed. The competences required for Axle Counters have a large amount of tacit knowledge and the transfer of
explicit knowledge to tacit is facilitated on the training event through a process of ‘practice – reflect – practice’.
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Figure 20: Mock lineside setup
Figure 21: Signaller’s panel
Figure 22: Lineside cabinet
In the new Network Rail training centres up to 100 frontline engineering and maintenance staff can be trained
simultaneously in new technical skills such as AzLM. Projects are currently underway to invest a further £34m to
create four new multi-discipline training centres to enhance and extend this capability.
Potential developments for the future include the use of smart phone technology to enhance and reinforce
classroom and practical track layout training, the increased use of emulations and animations using 3D
computer design technology and an increased use of embedded and enhanced video to replicate real-life
scenarios.
As suggested in the introduction, however, a blended learning approach is not always about the technology.
A revised Lesson Plan format is imminent which will move away from the traditional ‘script’ that trainers can
become dependent upon and will focus more on identifying opportunities to incorporate a facilitative element,
a problem solving exercise, a group discussion, a practical track-based scenario or simply reinforcing the
behavioural and safety implications of a particular element of the training. Reinforcing best trainer practice and
supporting the development of trainers with improved tools like this can contribute to the blend and help engage
the learner in a powerful and meaningful manner.
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3.1.2 Options for structuring learning: contexts and perspectives
The challenge for L&D professionals in the rail industry is to move away from the rigid structure of ‘theory first,
practical later’ and create a true blend of the many techniques that have developed, supported by appropriate
technology and combining the theoretical and practical elements together. But before this can happen, programme
designers need to have a clear understanding of these techniques and technologies.
In his book, ‘The New Learning Architect’ (2011), Clive Shepherd20 classifies learning methods (and supporting media,
where appropriate), into four contexts and two perspectives.
These are useful when considering the vast range of learning methods and media available. Although a large amount
of learning in the rail industry needs to be in the ‘formal’ context to assure compliance (see section 3.2, ‘Competence
review and assessment’), there is still plenty of potential for methods in the other contexts to be used. The contexts are
reproduced below, with kind permission of the author:
Context
Explanation
Formal
Learning that is packaged up as a ‘course’, with pre-defined entry requirements, a structured
curriculum and content, professional facilitation and some form of assessment. Formal learning
interventions can be based on individual study or group work, they can be delivered face-toface or online, or a blend of all of these. They play a valuable role in ensuring that employees
obtain the critical skills they need to carry out their jobs, although only a small fraction of what
employees learn in their working careers can be traced back to these interventions.
Non-formal
While non-formal learning prepares the employee to carry out their current or future job
responsibilities, it is not so formalised as to constitute a ‘course’. One-to-one approaches, such
as on-job instruction, coaching and mentoring constitute the majority of non-formal learning,
although employers may also choose to run conferences and short workshops for groups of
employees, or to provide resources, such as white papers, podcasts and videos for individual
use.
On-demand
On-demand learning occurs as an immediate response to a work-related problem, rather than in
advance; it is ‘just-in-time’ rather than ‘just-in-case’. In many jobs there is now more to know than
can ever be known and such a rapid turnover of knowledge that it simply makes no sense to try
and ‘teach’ every aspect of every job up front. On-demand learning can be supported from the
top-down through the provision of performance support materials and help desks, or facilitated
as a bottom-up activity through search engines, forums and wikis.
Experiential
Much of what we learn at work does not occur deliberately, as we ‘learn to’ do something to meet
a current or future need; rather it occurs as we ‘learn from’ our own experiences and what we
observe of the experiences of others. Experiential learning can be allowed to just happen of its
own accord, but the new learning architect will want to help create an environment in which it
flourishes, to create the true ‘learning organisation’. Employers can support experiential learning
in many ways: through job enrichment and rotation, through performance appraisals and project
reviews. They can also encourage employees to reflect on their experiences through techniques
such as blogging.
Figure 23: Four learning ‘contexts’ from ‘The New Learning Architect’ by Clive Shepherd (2011)
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With formal training interventions, learning can be lost rapidly if it is not implemented on a practical basis within a
very short space of time. With non-formal learning, although it is not formalised as a ‘course’, it still needs structure
to ensure it actually still has defined objectives and the success can be measured against specified objectives.
Obtaining staff buy-in around this subject and utilising staff with the technical skills, desire to share knowledge, and
communications skills is important to allow them to do it well. Non-formal training can end up the easy cheap option to
tick a box if it is carried out without these objectives and ‘courses’.
Even more importantly, in the context of adult learning, are the two learning perspectives that Shepherd uses:
Top-down
Top-down learning occurs because organisations want their employees to perform effectively and
efficiently and appreciate that this depends, at least in part, on them possessing the appropriate
knowledge and skills. Top-down learning is designed to fulfil the employer’s objectives, not the
employees’.
Bottom-up
Bottom-up learning occurs because employees also want to perform. The exact motivation
may vary, from achieving job security to earning more money, gaining recognition or obtaining
personal fulfilment, but the route to all these is performing well on the job, and employees know
as well as their employers that this depends – again, at least in part – on them acquiring the
appropriate knowledge and skills.
Figure 24: Two learning perspectives from ‘The New Learning Architect’ by Clive Shepherd (2011)
Interestingly, the ‘bottom-up’ perspective represents the way that training on the railway existed before it was
formalised in the 1970s, as identified in the T718 report Locomotion No.1 to Simulation, a brief history of driver
training, with voluntary learning sessions known as Mutual Improvement Classes (MICs) for rail workers often
organised without any top down support from rail companies.
Bottom-up learning does exist within the rail industry today, very often in an informal setting and in the form of
conversations between staff in mess rooms. However, there are a number of ways in which bottom-up learning can be
encouraged, such as wikis social networking, online forums, etc, all encouraging independent learning. Keeping ondemand materials up-to-date is important and requires input from all levels of staff involved (top-down or bottom-up).
Learning and assessment options analysis
Within the RSSB’s template for the Risk-based training needs analysis (section 2.1.2) there is a sheet
summarising many of the learning methods and media which have been identified by recent research. They
have been categorised in Shepherd’s four learning contexts and two learning perspectives described above, with
space for an analysis of:
• Equipment availability and location – if specific equipment is required, is it readily available, to what
extent, where is it located, is it portable?
• Training staff capability – do training staff in the company have the necessary level of competence to
facilitate the method or use the media?
Once this analysis is complete, it can be used to ensure that existing or future competence development
activities are truly ‘blended’ with the most appropriate techniques for the learners, both individually and in
groups.
It is important to apply this checklist not only to formal learning programmes (both initial and refresher training/
assessment), but also to the on-job environment. How will a learning solution help the learner at the moment
they really need it?
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3.1.3 Learning aims and objectives
Each competence development activity within a formal programme (or indeed non-formal, experiential or on-demand
competence development resources), needs to have aims and objectives to ensure it aligns with the training needs
identified within an RBTNA, and is assessed against the relevant competence standard:
• An aim is a general statement of intent. It describes the direction in which the learner will go in terms of what they
might learn or what the training will do.
• An objective is a more specific statement about what the learner should or will be able to do after the training
experience.
Creating an objective is not easy and it is sometimes better to brainstorm these with a small group and discuss what is
required. Typically, an objective will contain three elements:
a)A standard – to what degree must the performance criteria be achieved
b)A condition – how and/or when the standard will be achieved
c)A performance criterion – what has to be achieved
For an objective to be meaningful, it is not sufficient to indicate that a learner should, for example, have an
‘understanding’ of something.
An assessment cannot meaningfully measure an ‘understanding’ because it is not a set standard. This may lead to
assessors having a very different opinion as to the level of understanding, which could subsequently lead to an unfair,
inconsistent and/or an incorrect assessment decision.
3.1.4 Structure of training programmes
With aims and objectives for different activities in place, the various activities can be developed and put in the
appropriate context. Due to the safety-critical nature of railway operations, much of this will be a formal learning
context, as part of an overall programme of learning. It may also be within the formal context of a competence
management system. This does not mean that other learning contexts are not appropriate and all should be explored
to obtain the most appropriate ‘blend’ for the role.
The extent and type of activities will be influenced by data from the completed RBTNA for the role.
Guidance on how to interpret the data, particularly training priority and fidelity ratings, is available within the
RBTNA user guide16.
The use of training session plans can help standardise the format of training documents across all training sessions
and provide materials for future use by all trainers. They help trainers with the preparation of training sessions and
during the session can be used a reminder for the main points to be covered. An example session plan is provided in
Appendix B: Example training session plan (courtesy of Hitachi Rail Europe Ltd.)
3.1.4.1 Graded learning
RSP1 recommends a structure to training programmes whereby normal tasks are learned first, then degraded and
emergency tasks. This is based on the principle that normal tasks are easier than degraded and emergency tasks, and
aligns with the concept of ‘graded’ learning. This concept is represented in the diagram below:
Normal
Degraded
Emergency
Figure 25: RSP1 recommended course structure with graded progression through normal,
degraded and emergency operations
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However, if you have broken down the role through the RBTNA process, you should be able to identify the relative
difficulty of specific goals and tasks. So, there may be a basic task within an emergency goal that is easier to learn
than a more difficult ‘normal’ task. This does not mean that the normal, degraded and emergency principle can be
disregarded, but in order to achieve truly graded learning, programmes should be devised so that the easier goals
(or tasks within goals) are learned first. This diagram, adapted from the T718 Adult learning and innovation report23,
shows a simplified course structure working on this slight refinement to the RSP1 guidance:
Increasing goal/task difficulty about each type of operation at each module level and
Module 1
Module 2
Module 3
Module 4
Normal
Normal
Normal
Normal
Degraded
Degraded
Degraded
Degraded
Emergency
Emergency
Emergency
Emergency
Figure 26: Simplified and refined course structure with difficulty of specific goals and tasks
In this structure, each module corresponds to a blend of competence development activities relating to goals/tasks of
approximately the same difficulty, with the normal, degraded, emergency progression maintained within each module.
But even this model is oversimplified. For example, there may be a case for undertaking competence development
of very difficult, low frequency, highly important tasks, such as emergency tasks, very early in the programme.
These may require a rich blend of competence development activities, starting with those which are ‘easiest’ and
progressively developing competence as the course progresses.
Learning and reinforcement activities for non-technical skills (NTS)
The RSSB T869 NTS project9 was commissioned to develop, pilot and evaluate training courses and
reinforcement activities to enhance NTS. As well as the formal training course materials, managers can use
tools that have been developed as part of the project to support non-formal coaching and mentoring discussions.
These tools include a template for a feedback discussion and tips on how to coach staff effectively.
The RSSB NTS training materials have been developed in such a way that it is possible for companies to tailor
the way that the course is delivered, for example by running shorter workshops instead, or making some of the
materials available to employees for individual use (eg support materials, background information and posters in
communal areas). By making non-formal materials available, this increases the chances that the skills learnt by
participants on the courses will be reinforced and continually improves.
Northern Rail was one of the companies involved in the development and piloting of the RSSB NTS materials.
Northern have taken a holistic approach to the development of NTS, integrating it into the selection process,
training, competence assessments and incident investigations (see the case study below for more information).
To ensure that their position was clear, and that NTS were integrated effectively, Northern Rail produced an NTS
integration strategy document based on discussions among internal personnel.
Northern have sought to raise awareness of NTS throughout the company by including features on NTS in their
company magazine, and discussing NTS as part of company briefing days. As well as providing formal NTS
training for drivers and managers, managers are reinforcing the importance of NTS by including evaluations of
NTS as part of competence assessments and feedback discussions, and using the NTS list as a checklist when
investigating incidents and accidents.
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Results from the RSSB evaluation of the T869 pilot courses demonstrated an improvement in NTS one month
following the course, and further improvement at sixth months, suggesting that both the formal training and the
informal reinforcement activities were having a positive impact.
For more information on T869, the materials available and guidance on implementation please visit the
T869 project page on the RSSB website11.
Case study: Northern Rail – integration of non-technical skills
(NTS, T869)
Northern Rail is a train operating company operating in the north of England. Northern operate local and regional
train services and call at over 500 stations of which 462 are also managed by Northern. Northern employs
approximately 4800 people and carry approximately 88 million passengers per year.
Following pilot work with RSSB as part of the T869 project, Northern have since put in place a two-day training
course with assessors on NTS. From managers’ observations of drivers, it became apparent that staff who
had been on the NTS course were beginning to think more about why they were making decisions, and
improvements have been seen across all experience levels. Feedback from staff suggests that they have
welcomed the new approach to training and that they appear to be thinking more about what they are doing
when driving. NTS leads to ‘deeper thinking’ which has become more automatic and beneficial to drivers. The
opportunity to discuss and receive quality feedback has been seen as a beneficial process for both the trainer
and trainee and it was also felt that drivers who had been involved in incidents in the past would benefit from the
NTS course.
NTS have also been relevant for use in accident and incident investigation. This has been helpful for assessors
in understanding the impact NTS can have. If people are able to understand why incidents occur and how this
relates to NTS, this demonstrates the importance and impact NTS have on safe and effective performance.
Northern believe that compliance and competence can be enhanced by recognising and developing NTS.
Basic NTS competence for the role has been proven by virtue that the individual is already performing the role;
therefore, further proactive NTS development allows for knowledge to be topped up and is useful in challenging
or emergency situations.
The traditional railway is rules-based. With the introduction of NTS the quality of the assessment is further
improved and allows for the assessment to move away from pass/fail; it is rare for someone to fail so NTS
provides a more meaningful rating scale using behavioural markers that can be used for increasing awareness
and for coaching purposes.
The success of the RSSB pilot course has meant that NTS was gradually brought into the organisation through
careful management of apprehension about its utility and has allowed a period of cultural change to take
place. The positive feedback from managers and frontline staff is promising for rolling out and implementing
NTS throughout the organisation. Northern are aiming for this in 2012 and would like to see NTS completely
embedded in the next two to three years. However the challenge will be to create cultural change amongst 100
assessors, 1300 drivers and bring along the trade unions so that all parties understand, accept and promote the
utility NTS. Part of the change requires the non-technical language to be embedded within the company so that
staff at all levels are able to communicate relevant information with common understanding.
Since 1999 the number of SPADs occurring on the railway has significantly decreased, with the last four or five
years witnessing a plateau. Northern believes that NTS have the potential to change this and that introducing
NTS to organisations will lead to a decreased number of incidents. By embracing NTS, staff are able to
understand the risks of less safe or ineffective performance better and it is a simple effective tool that can be
used to think differently and more deeply about how we behave.
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Key learning points from section 3.1
• Blended learning within a rail industry context is a true blend of the many learning techniques that have
developed, supported by appropriate technology and combining the theoretical and practical elements
together.
• Learning programme designers need to have a clear understanding of techniques and technologies before a
truly blended solution can be offered.
• Learning methods (and supporting media, where appropriate) can be classified into four contexts (formal,
non-formal, on-demand and experiential) and two perspectives (top-down and bottom-up). These are useful
when considering the vast range of learning methods and media available.
• The RBTNA analysis can be applied to ensure that existing or future competence development activities are
truly ‘blended’ and can be used with the most appropriate techniques for the learners, both individually and in
groups.
• Each competence development activity within training programmes (be they formal, non-formal, experiential
or on-demand competence development resources) needs to have aims and objectives to ensure it aligns
with the training needs identified within a TNA or RBTNA, and assessed against the relevant competence
standard.
• A refined structure of training programmes can allow for a blend of competence development activities,
starting with those which are ‘easiest’ and progressively developing competence as the course progresses.
• The Network Rail case study highlights a truly blended approach to learning which utilises the design and
development of an appropriate blend of materials and approaches to enable an effective learning outcome,
a highly competent learning delivery capability to ensure that learning is effectively facilitated utilising
appropriate training methods and state-of-the-art training facilities and resources to ensure practical
meaningful application of skills elements of the programme in a safe environment.
• Non-technical skills training can be integrated with traditional training and competence development activities
by blending formal and informal training approaches. The T869 NTS project at Northern Rail highlights
positive results for blended learning with both formal and informal learning activities.
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3.2 Competence review and assessment
In designing a CMS (phase 2 of RSP1), it is necessary to have a clear strategy for what competent performance looks
like, how it can be measured and how it should be documented, so that competence can be effectively maintained and
developed (phase 4). In this section, guidance on these issues and key learning points are provided.
3.2.1 Setting standards
3.2.1.1 Introduction - compliance versus competence
The ORR RSP1 Developing and Maintaining Staff Competence8 (see section 2.1 of this GPG ‘The evidence-based
competence management system cycle’) states that ‘competence can be seen as a continuum with people at various
stages along it such as novice, not yet competent, competent, proficient and expert’.
The focus has historically been on ensuring that staff reach the minimum level of competence for them to be able carry
out their roles safely. However, in recent times, some companies have started to measure competence using the sorts
of level classifications suggested in RSP1. This suggests that company cultures have evolved from competence being
a binary judgement, either side of a line distinguishing ‘not yet competent’ from ‘competent’.
Compliance with minimum standards is necessary and important. Incidents and accidents from the past, such as
Ladbroke Grove37, have shown the consequences of not having a robust competence management system. The
primary purpose of competence assessment and review is to minimise risk by ensuring that only competent people
carry out safety-critical and safety-related work. The regime applied must measure that:
• The individual can perform to the required minimum standard under normal and emergency conditions.
• They perform consistently to that minimum standard whether under assessment conditions or not.
However, a sole focus on just ‘keeping heads above water’ may have several negative consequences for the culture of
learning within a company:
• Staff may feel that they are ‘under threat’ when they are assessed, as the best result is that they are allowed to
continue doing their job (with the tacit threat of being removed from duty should they not come up to scratch).
• Staff may feel that their competence is owned by the company, rather than themselves, and that ‘competence’ is
something that is ‘done’ to them, through a process.
• If rote learning of knowledge is relied upon as an assurance of competence, staff may not necessarily have the
required non-technical skills to deal with novel situations.
It is therefore desirable for competence review and assessment to reflect a desire, on behalf of the company and the
individual, to develop competencies beyond the minimum level of competence towards proficient and expert levels.
3.2.1.2 Competence standards
Standards are needed to provide key performance indicators for the work to be included in competence assessment.
There are national standards which can be applied to many rail activities. National Occupational Standards (NOS) are
developed by Sector Skills Councils for the industries they represent. Some are generic, for example the construction
and engineering industries, and some more specific, such as Rail Services and Rail Engineering. However, it is
possible that such standards will need modifying to reflect the requirements for specific railway operations.
Other national standards have been developed by the industry, such as the track safety standards in the Network
Rail Sentinel scheme. ORR guidelines advise that, where possible, national standards should be used as the basis of
competence assessment.
If existing standards are to be used, they should be checked to ensure that they are adequate to control identified
risks; they need to cover working in normal, degraded and emergency conditions. Also, make sure they are up-to-date
and take account of your company’s current working practices. It may be necessary to develop the standards, add
guidance for assessors to apply them in your company context.
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3.2.1.3 Determining a ‘pass’ mark
Consideration needs to be given to what constitutes a ‘pass’, particularly in knowledge assessments.
Pass mark considerations
Most pass marks are arbitrarily selected, but the following could be considered:
• Having no pass mark at all, but basing the decision on whether a candidate has passed or whether they
adequately respond to feedback.
• Designating certain questions/elements of an assessment as ‘critical’, where inability to give the right answer/
perform the task correctly first time means an automatic ‘not yet competent’ decision.
• Analysing results to identify trends which may affect the ‘pass’ mark, especially individual questions/
scenarios or indeed assessors where a large proportion of the population are successful/unsuccessful. Many
eAssessment packages have this facility.
For an example of a company that takes a competence-based approach to competence review and assessment rather
than just doing it for compliance please see the case study in section 5.2: ‘Case study: Iarnród Éireann (Irish Rail) –
overhaul of training and competence development activities‘.
3.2.2 Assessment methods and evidence of competence
Assessment decisions should be made in the workplace by competent assessors close to the work involved, including
evidence of what the individual has done and how they have done it, as well as other data available. It is for these
reasons that the integrity and skill of the individual assessor remains at the heart of assessment (see Assessors
section below).
3.2.2.1 Key principles of assessment methods and evidence of competence
Assessments must be:
Reliable
The assessment
method should
be consistent and
trustworthy.
Valid
The assessment
activity should
actually measure
what it purports to
measure. There
are different types
of validity.
If it is reliable, candidates will get the same results with different assessors and from one administration of
the test to the next
There are different types of reliability including parallel forms, which evaluates the extent to which the
ordering of people from higher to lower test scores is consistent across two or more versions of an
assessment method, and inter-rater reliability, which evaluates the amount of agreement between two or
more assessors scoring the measures.
Construct validity: agreement between the psychological construct being measured and the assessment
method.
Information collected from content and criterion validity studies contribute to evidence of construct validity
by providing a better understanding of what an assessment method measures and what its limitations are.
There are two sub types of construct validity:
• Convergent validity: the extent to which similar measures of a construct produce similar results.
• Discriminant validity: the extent to which measures of different constructs do in fact measure different
things (ie do not correlate significantly).
Content validity: The content of the assessment should match the instructional objectives.
This approach to validity involves the evaluation of the assessment method by subject matter experts.
Information is collected on whether the experts consider the assessment method to be an adequate
representation of the psychological construct (eg attention) to be assessed, and whether the scores taken
from the assessment method are an appropriate and accurate means of distinguishing between different
levels of performance.
Criteria-related validity: The content on a test or particular approach should correlate with performance
on relevant criterion measures, such as workplace performance or training. There are two main types of
criterion validity:
• Concurrent validity: how well performance on a test estimates current performance on some valued
measure or criterion.
• Predictive validity: how well a measure can predict future performance.
Figure 27: Principles of assessment methods and evidence of competence
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Authentic
It must be clear that the evidence used comes from the candidate’s own work.
Fair
Assessment methods are said to be fair if they do not significantly discriminate groups based on protected
characteristics, such as gender, age, ethnic origin or disability.
3.2.2.2Methods
Evidence of competence needs to show what the candidate can do, ie their performance, how they perform a task
and why they do it in a certain way. The latter points are covered in the measurement of non-technical skills (NTS) ie
whether they have noticed what they should do, understood it correctly, made appropriate decisions and taken actions
accordingly. It should also identify areas for improvement.
It also needs to show that they consistently perform to the standard required and against all the range of activities
identified within the competence management system.
When selecting the methods to be used consideration would also have been given to the cost-effectiveness of each
method:
Method
Description
Pros and cons
Observation
Watching the candidate do their normal work
and making a record.
• Valid and reliable because it provides first-hand
information about performance in real conditions
• Captures information about process and behaviour as
well as outcomes
• Can be time consuming if not well planned
• May result in a ‘special performance’
• May provide little evidence of non-routine work
Remote
monitoring
Using technology to obtain performance
information (eg voice tapes, CCTV, cab data
recorder).
• Captures information about performance when unaware
of scrutiny
• Provides evidence of consistency
• Provides evidence of willingness to maintain standards
without supervision
• Cost-effective where technology is already in place
• Can miss out on elements of NTS
Witness
evidence
Another person’s account of what a
candidate has done. Can cover a single
incident or performance over time.
• Supports other methods such as candidate reports and
examination of products
• Provides evidence of consistency
• Relies on the witness’s skill in providing clear, relevant
information
• Must be carefully evaluated in terms of reliability and
authenticity
Simulation
Asking the candidate to complete an activity
which is not real work but replicates real
work as closely as possible
• Provides performance evidence for non-routine work
• Measures response to emergencies
• Requires careful planning and development to be valid
and reliable
• Heavy on resources
Candidate report
Candidate’s own account of something they
have done.
• Can cover incidents difficult to capture by observation,
etc
• Draws assessors’ attention to incidents that provide
existing evidence
• Needs to be supported by other evidence to ensure
authenticity
• Requires candidate commitment and adequate literacy
skills
Work products
Examining the outcomes or products of work
such as documents completed or a serviced
machine.
• Provides evidence of performance in real work situations
• Useful to confirm consistency
• Authenticity must be verifiable
Accreditation of
prior learning or
achievement
Considering how far evidence such as
certificates proves current competence.
• Must be recent
• Must clearly relate to the standard
• Most useful where the content is well known to the
assessor
Tests
Formal assessment of knowledge on paper
or screen.
•
•
•
•
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Consistent information for all candidates
Good for assessing technical knowledge
Requires skill in authoring/construction to be valid
Cost-effective for large numbers
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Questioning
Using a range of questioning techniques,
oral or written.
• Obtains first-hand evidence of underpinning knowledge
quickly
• Useful to supplement and clarify performance evidence
collected, particularly non-technical skills
• Relies on questioning skills of assessors
Professional
discussion
A conversation in which the candidate
describes and reflects on their performance.
• Allows in depth exploration of knowledge and
understanding
• Relies on skills of assessors
Figure 28: Methods that can be used for assessments and competence reviews
3.2.2.3eAssessment
The proliferation of technology to support knowledge assessment (variously categorised as ‘Computer-Based
Assessment’ or ‘eAssessment’) has opened up many possibilities for enhancing the quality of data about the extent of
learners’ underpinning knowledge and, more importantly, its translation into understanding and performance.
Numerous products are available that promise one or more of the following:
• Completely objective assessment (no room for interpretation of answers by human assessors).
• Automatic analysis of results, on individual, team and company levels.
• Extrapolation of results into conclusions about the candidate, such as whether they pose a risk to the business, or
require a certain type of training.
eAssessment can be a straightforward translation of pen and paper tests to computers, but technology also offers
different ways for candidates to respond (eg mouse click, touch screen) and novel types of assessment items which
yield new information. Assessments can be developed using simple off-the-shelf, or bespoke software to match the
identified testing needs of the organisation. Similarly, assessments can be administered simply and locally using an
existing computer or laptop or using the internet/company intranet and specially purchased hardware.
Rail companies who have successfully introduced on-screen tests all identified the importance of rigorous testing
of the product prior to launch to remove technical hitches, ambiguity and inconsistent results. Where large banks of
questions are used, with random computer selection for different candidates they can only be considered reliable if the
same outcome is achieved whichever items are selected.
It is also necessary to prepare candidates and allow them to practise to make sure they are confident with the
technology before official testing starts. Levels of IT skill vary. There may be some candidates who, for example, have
never used a mouse.
Assessments are usually taken at designated centres or under supervision at work in order to be confident that the
evidence they generate is authentic. Other measures need to be taken to ensure that data is secure.
Assessments are integrated into the candidate’s overall competence profile and the results should be quickly made
available to the candidate’s assessor/line manager. The process will also include arrangements for feedback to
candidates and follow-up action where weaknesses are identified.
Of course, eAssessment on its own is not a substitute for performance evidence from the candidate’s real work, but
can provide richer information than conventional knowledge testing.
3.2.2.4 Types of questions
In order for knowledge assessments to be more effective than just a recall of rote knowledge, it is important to
appreciate and utilise the different types of questions that can be used. Appendix C: Types of questions – Kineo
’Designing assessments’ contains a table of question types, taken from a free document called ‘Designing
assessments’ available from the Kineo website38. Another useful way of thinking about and categorising question
types is using the questions that accident investigators use when interviewing. Appendix D: Types of questions –
RSSB Human Factors Awareness course is a page from the RSSB Human Factors Awareness course for incident
investigators workbook (see section 4.2.2.1 ‘Recognising when competence is (or is not) the issue’) that provides a
guide to question types.
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In addition to these question types, it is important to ensure questions are clear in terms of the language used and
any technical terms, jargon or acronyms are explained to avoid ambiguity. Double-barrelled questions are those
which contain two or more issues or questions within one question, which makes it unclear what is being asked, and
could elicit different responses. If the word ‘and’ appears in a question, check to verify whether it is a double-barrelled
question. Leading or loaded questions should be avoided as they may bias outcomes.
Many assessment platforms use either multiple choice questions (MCQs) or multiple response questions (MRQs),
which are similar to MCQs but allow the candidate to choose more than one of the responses, as more than one may
be correct.
Project T441: potential problems with MCQ/MRQ assessment
Research project T441 The effect of adult learning styles on the use of technology based training25 highlighted
potential problems with MCQ/MRQ assessment validity in the rail industry:
‘...it is likely that the industry is incurring unnecessary cost (through reassessment, re-training, etc) and importing
safety risk as a result of the design of assessment methods and the lack of quality control of the assessments.’
Although the specific issues uncovered by the project concerned the validity of MCQ/MRQ assessments, similar
issues were found with traditional paper-based assessments. In particular, the following characteristics were
identified through comparing sets of answers from different candidates:
• Difficulty in answering question requiring a distance/measurement answer.
• Technically ‘correct’ answers being considered incorrect due to poor [assessment] questionnaire design.
• Poorly or incorrectly worded question – or where a question would have been better presented as a diagram.
• A relationship between age and previous training (for example where metres replace feet).
3.2.3 Assessment strategy
Within a competence management system, a good blend of these assessment methods and activities should be
selected (see section 2.1.2 ‘Risk-based training needs analysis’). It is often cost-effective to develop assessment tools
to be used for all candidates that can be administered centrally or locally. This brings the added benefit of consistency
across the candidate group and can reduce the workload of individual assessors. Assessment methods which lend
themselves to this approach are simulation, testing and questioning. For an example of questioning, refer to the
manager NTS toolkit developed as part of the RSSB T869 NTS training course materials9, which includes a set of
questions to be used to determine the NTS underlying performance.
3.2.3.1 Assessment purposes
Assessments have predominantly been seen in the ‘summative’ context, as a means of determining whether a
candidate has reached a minimum level of competence in order that they may carry out certain tasks unsupervised.
However, the line between learning and assessment is becoming increasingly blurred. In this respect, there are three
types of assessment:
Assessment purposes: do your competence development activities include all three?
• Diagnostic – prior to learning, to establish what level of competence a learner already has.
• Formative – ‘in learning’, to correct misconceptions, identify competencies which require further development
and reinforce successful learning.
• Summative – ‘of learning’, to not just check that a minimum ‘competent’ standard has been reached,
but to establish whether the learning activities offered were effective or establish competence retention
characteristics (‘forgetting curves’) of specific tasks.
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3.2.3.2 Frequency of assessment
Assessment plans may have different requirements, but the nature and frequency of assessments will depend on the
following (much of which can be gleaned from an RBTNA):
• Subsequent changes to the assessment plan.
• Organisational or individual factors associated with sub-standard performance.
• Organisational or individual factors associated with accidents and incidents.
• Human performance associated with errors.
• Age and experience.
• Number, range and complexity of activities being assessed.
• Probability and frequency of encountering all aspects of the competencies in day to day operations.
The frequency of assessment and the methods used should, wherever possible, be made flexible to allow for changes.
Results from assessment and monitoring will help decide whether the frequency needs to be increased. Additional
assessments may also need to be provided where an individual has not reached, or maintained, the expected
performance levels. If necessary, assessments should be scheduled to cover different shift patterns.
The impact of changes to the role or regular routines (such as timetable changes) may need to be considered when
deciding on the assessment frequency, as might seasonal factors. This is especially important where there is a
risk factor for operations and where opportunities to practise tasks in ‘real life’ were not provided during training.
Competence management systems may need updating to reflect these changes.
Care needs to be taken to provide clear links within assessments to any skills or knowledge gaps that may have been
identified during training until results reflect that the required competence levels are being achieved, maintained and
developed.
Sufficient evidence needs to be provided during the assessment cycle to support the decision about minimum levels of
competence, for compliance purposes.
3.2.3.3 Assessment authoring and validity
The complex data that these knowledge assessment platforms can generate has enormous potential as part of the
development of a richer competence profile (see section 1.2 ‘Understanding the current position and barriers we face:
Industry-wide aspirations for improvement’). However, the principle of ‘Garbage In Garbage Out’ also applies.
3.2.4 Assessors and roles
The most important role is that of the assessor, who is the person making the decision that an individual is competent.
The definition given in ROGS is ‘a person who is competent to make an impartial and objective assessment of another
person’s competence or fitness to carry out safety-critical work’. The section on training staff looks at the factors
affecting the composition of training staff roles, training staff competencies and selection, and developing competence
(see section 4.1 on ‘Training staff’).
Competent assessors must have appropriate vocational expertise in the work being assessed (this will vary from role
to role) as well as in the professional skills of assessing. Having selected people with the right vocational background,
there is a need to make sure they are in a position where their expertise will be retained, which is important to their
competence as an assessor and their credibility in the eyes of candidates.
National vocational standards and qualifications provide a basis for development of basic assessor skills (see the next
page about assessor training and qualifications). Continuous professional development should be provided to maintain
up-to-date vocational skills and knowledge. Professional development must reflect any changing circumstances.
Regular update training and briefing should also be provided.
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Some organisations employ dedicated assessors but more frequently line managers fulfil the role. Dedicated
assessors are sometimes considered more objective in their decisions and less likely to be subject to operational
pressure to deem someone competent and able to carry out duties. On the other hand, line managers have an existing
responsibility to manage the performance of their staff. Where they act as assessors it is more likely that competence
review will be integrated into their broader management role and therefore become more prominent.
Whichever route is taken, assessors need the time and resources to do their job and this needs to be part of the
planning process.
3.2.4.1 Other roles with an interest in assessment
Defining the role of others who will play an active part in competence assessment and review is important. This will
include candidates, particularly if there is a requirement for them to play an active part in identifying and collecting their
own evidence (eg by keeping a log book), staff that administer tests or simulations, or people in the workplace that will
be called upon to act as witnesses.
There are some assessment models where witnesses may be particularly important. For example:
• Where line managers or workplace supervisors are not assessors, their reports about normal candidate
performance and observation reports on specific occurrences are valuable.
• Where newly trained personnel work with a mentor they are well placed to observe and record performance,
providing a picture of consistent performance prior to formal assessment of competence.
All concerned should understand this and be ‘signed up’ to their responsibilities.
Finally, verifiers will need to be appointed to provide quality assurance of assessment (see the next page about
assessor training and qualifications).
3.2.4.2Communication
There is a need for effective communication in the assessment team and this usually takes the form of assessor
meetings and briefings. Meetings are particularly valuable for quality assurance as this enables assessors and verifiers
to share ideas, as well as to carry out standardisation of assessment decisions.
As the people in the frontline, assessors are uniquely placed to provide practical feedback and ideas about what works
and what can be improved.
However, they should not work in isolation from other roles which are involved in the management of competence, as
this helps to foster the compliance culture mentioned at the beginning of this section.
3.2.4.3 Assessor training and qualifications
Assessors need training and development before they take up the role and support to maintain both their vocational
and professional competence after that. Their development needs are no different from anyone else taking on new
responsibilities.
Initial training in the skills of assessment can be given internally or using an external provider, but in addition it is
important to provide an induction to introduce the specific requirements of your assessment process.
Inexperienced assessors benefit from support from an experienced assessor acting as a mentor. For national
qualifications, such as National Vocational Qualifications (NVQ) and Qualifications and Credits Framework (QCF), and
some other assessment systems subject to external audit, this is mandatory. The mentor checks and countersigns the
work of the ‘trainee’ assessor so that the assessment decision can be validated.
After a period of experience, there should be a qualifying assessment which confirms that the new assessor is
consistently working to the required standard. This may take the form of a formal assessment for a recognised
qualification. In all cases the standards to be used will need to be clearly identified to measure assessor performance.
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Development of assessor competence
There are a number of qualifications that can help development of assessor competence. The information below
regarding the qualifications for assessors, quality assurance or verifiers is part of the QCF in England, Wales
and Northern Ireland. They supersede the previous NVQs , and prior to that were known as D32 and D33, then
A1 and A2):
Qualifications for assessors:
• Level 3 Award in Understanding the Principles and Practices of Assessment
• Level 3 Award in Assessing Competence in the Work Environment
• Level 3 Award in Assessing Vocationally Related Achievement
• Level 3 Certificate in Assessing Vocational Achievement
Qualifications for internal quality assurance staff (sometimes known as ‘internal verifiers’):
• Level 4 Award in Understanding the Internal Quality Assurance of Assessment Processes and Practice
• Level 4 Award in the Internal Quality Assurance of Assessment Processes and Practice
• Level 4 Certificate in Leading the Internal Quality Assurance of Assessment Processes and Practice
Qualifications for external quality assurance staff (sometimes known as ‘external verifiers’):
• Level 4 Award in Understanding the External Quality Assurance of Assessment Processes and Practice
• Level 4 Award in the External Quality Assurance of Assessment Processes and Practice
• Level 4 Certificate in Leading the External Quality Assurance of Assessment Processes and Practice
In Scotland, equivalent Scottish Vocational Qualifications (SVQs) apply.
Companies can also have their own alternative verification processes in place of the QCF and SVQ systems.
Please check The Office of Qualifications and Examinations Regulation website (www.ofqual.gov.uk39) or the
Scottish Qualifications Authority (www.sqa.org.uk40).
Assessor competence must be maintained and developed. Part of the verifier’s role will be to provide continuous
monitoring of assessor performance. This provides an opportunity to identify any skills fade and offer appropriate
training and support. In addition the verifier needs to ensure that regular update training on assessment is provided to
their team.
It is essential that assessors retain the ability to make accurate decisions about the competence of their candidates.
Continuous professional development (CPD) processes are required to maintain up-to-date vocational skills and
knowledge in an ever-changing workplace. If the assessor still works or trains others in the work areas they are
assessing, this should happen naturally as part of the competence management skill set, but if not it will need to be
specifically planned.
Appendix E: Guidance for Assessors – the assessor cycle’ is a short guidance document that can be used as a
reference by assessors.
3.2.5 Documentation and other logistics
3.2.5.1Candidate
For safety-critical workers there must be a record of the competences they hold. This record does not need to include
a detailed breakdown of the competencies, though these should be available through detailed accounts of learning
and assessment activities (see below).
This is vital, both for your own management of the system and in order to comply with the requirement to make this
information available promptly to authorised people (although there is no longer an obligation to issue ID cards).
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Record of competences should include:
• Candidate name
• Each activity they are assessed as competent to carry out
• Standard achieved
• Names of assessor(s)
• Expiry date of certificate or licence
There must also be a full record of learning and assessment activities for each person that supports
the decision of competence. This should include:
• Candidate name
• Competence profile/matrix summarising all competencies assessed
• A copy of any certificate or licence issued
• Record that led to the decision of competence with:
◦ Dates of assessment
◦ Name and signature (or digital validation) of assessors(s)
◦ Assessment methods used
◦ Supporting evidence or where it can be found
◦ Deficiencies in competence identified and actions taken
◦ Records of learning and development activities
◦ Date of reassessment
• It might also include:
◦ Planning records
◦ Records of progress reviews
All records must be secure both to prevent unauthorised changes and to comply with the Data Protection Act regarding
personal information. There is also a need to retain records for a sufficient period. The time recommended is twice the
length of the assessment cycle so that the evidence for the last issue of a certificate or license is available, as well as
the evidence being collected in the current cycle.
3.2.5.2 Information Systems
Because assessors work locally with individual candidates, it is important to have a management information system
where up-to-date information about the status and progress of each person is readily available regardless of the
location of assessment.
Control measures will need to be in place to make sure that only competent people carry the work out. Checks also
will need to occur so that assessments and reviews are being completed in a timely fashion by individual assessors.
This system can either be a standalone assessment documentation system, or it can be integrated with other
competence management activities such as initial and refresher training, CPD etc. Comprehensive systems such as
this are known as Learning Management Systems (LMS).
Although LMSs are associated with complex software platforms, a simple system may be adequate. For example, a
single-site company may have a wall chart which shows the relevant information. Larger and more complex LMSs will
require more sophisticated information systems to support them.
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Many of these systems allow the secure and reliable storage of information, which can be accessed from different
locations and make information more readily available to different authorised users.
Individual learner records can be created and stored electronically using mobile devices, linked to companies’ central
servers.
Key learning points from section 3.2
• Competence review and assessment should reflect a desire, on behalf of the company and the individual, to
develop competencies beyond the minimum level of competence towards proficient and expert levels.
• Standards are needed to provide key performance indicators for the work to be included in competence
assessment. They should be appropriate and adequate to control identified risks, and may need to be
updated, whilst taking into account your company’s current working practices.
• The use of existing work records and outcomes as evidence of performance provides a more complete
picture of the work of an individual over a period of time. The integrity and skill of the individual assessor is
crucial to the success of assessments.
• Assessments must be reliable, valid, authentic and fair.
• Several methods are available to assessors for compiling evidence of competence. Selection of these
methods would need to be assessed using a cost-benefit analysis and should cover what the candidate can
do, how they perform and their underlying knowledge NTS and areas for improvement.
• eAssessment has created possibilities for enhancing the quality of data about the extent of learners’
underpinning knowledge and its translation into understanding and performance.
• There are three types of assessments that competence development activities should cover: diagnostic,
formative, and summative. The nature and frequency of assessments is dependent on several factors,
including organisational or individual factors associated with sub-standard performance and with accidents
and incidents, human performance associated with errors, age, experience, etc. Consideration needs to be
given to what constitutes a ‘pass’.
• The complex data that knowledge assessment platforms can generate has enormous potential as part of the
development of a richer competence profile. See the RSSB website for project report T441 The effect of adult
learning styles on the use of technology based training25.
• In order for knowledge assessments to be more effective than just a recall of rote knowledge, it is important
to appreciate and use the different types of questions that can be used.
• Standards, qualifications and CPD are important for the assessor role as they are the person making the
decision that an individual is competent. Assessors need training and development before they take up the
role and support to maintain both their vocational and professional competence after that.
• It is important to define all the roles others may play in competence assessment and review of the
candidates.
• For safety-critical workers there must be a record of the competences held. Comprehensive competence
management systems are known as Learning Management Systems (LMS) and enable assessors to log all
activities and follow them up. Assessors are uniquely placed to provide practical feedback and ideas about
what works and what can be improved.
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3.3 Use of simulation
Following on from the previous sections on learning methods and structure, this section briefly describes a
technological solution adopted by many train operating companies for training and assessing their staff, particular train
drivers – simulation. Simulation, however, can be adopted for many other safety-critical roles and this section looks at
what simulation is, why and how it can be used for competence development, and outlines the benefits and drawbacks
of its use.
3.3.1 What is simulation?
Simulation is a model of activity created for training or assessment purposes which reproduces a situation or
environment to solve a problem. These can be non-technological applications, simple computer-based simulations,
situation and equipment emulations, part-task trainers and high fidelity driving and signalling simulators. It also
includes real equipment used in a non-operational training context. Simulation does not include on-the-job-training
(OJT). For a more comprehensive review of the different types of simulation see Appendix F: Types of simulation.
3.3.1.1Fidelity
Closely associated with simulation is the concept of fidelity, which relates to the degree to which the simulation
accurately reproduces the characteristics of the real environment. The key areas of concern can broadly be divided
into physical fidelity (that is, the degree to which the simulated environment looks and feels like the real environment)
and functional fidelity (that is, the degree to which the simulated environment behaves like the real environment).
These two types of fidelity are well understood and applied within companies using simulation. In addition, simulation
can be developed for training and assessing non-technical skills, crisis management, situational awareness, emotional
and real workplace stresses. Simulation is widely applied for use in this manner and has the potential for preparing
candidates for real-world if used correctly (also see section 1.1 ‘What is competence?’ and section 3.1 ‘Learning:
Methods and structure’ on NTS).
Fidelity also has a subjective or perceptual component, which concerns the performance and control strategies of the
operator in the simulated environment. Deciding what level of fidelity is ‘appropriate’ for a given simulator is usually
driven by the application needs and goals of the users.
3.3.2 Why use simulation for competence development
As outlined in section 2.2 ‘Creating and supporting learning’, learning is a continuous and a feedback process.
Learning goes beyond knowledge delivery via books, manuals, group or company standards etc, and focuses on
interactive involvement of learners with such equipment and situations as they are expected to deal with during their
jobs. It is in this latter context that simulation can be particularly useful.
3.3.2.1Benefits
There are numerous benefits to using simulation for training or assessment purposes and these are described below
followed by some possible drawbacks and points for consideration.
3.3.2.2 Practicalities, expense and novel situations
Simulation is especially suited for learning scenarios which are impractical, difficult, dangerous or expensive to
reproduce in a live environment. There are many potentially dangerous situations that workers may only encounter
infrequently, if at all. Nonetheless when these situations are encountered they need to be dealt with efficiently to avoid
serious consequences. Simulations can be used to present learners with such unusual scenarios in a repeatable and
controllable fashion without presenting risk to other operators or members of the public.
Simulation can be provided in advance of the introduction of new equipment (rolling stock, warning systems, signalling
equipment) or procedures (new/amended routes, operational procedures) to support their smooth introduction into
service and to mitigate any associated risks.
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Simulation is also useful for training and competence management of non-safety-critical elements within roles, which
may have implications for wider business risk. Train operators under the First Group have specifically designed units 1
and 8 to meet non-technical and customer service aspects of competence within a new driver CMS and within some of
the their simulation scenarios. These elements will become more important as new scenarios are designed. Relatively
low cost initiatives (as simple as role plays, for example) have been shown to have a positive effect on training. An
approach with greater interactivity can make learning more enjoyable and effective. Also see the Case study: British
Airways – inspiring learners and developing competence from beyond the railway industry.
3.3.2.3 Other cost-benefits
Simulation has potential to save costs through:
• Alleviating staff resourcing issues for OJT
• Reducing the need to use expensive operational assets
• Improving the efficiency of learning, enhancing competence retention
• Improving safety and overall performance
• Providing robust forms of competence assessment (for more detail, see section 3.2 ‘Competence review and
assessment’)
• Identifying pre-cursers to more costly mistakes or competence omissions
3.3.2.4 Opportunities for error-based training
Importantly, from a learning perspective, simulation can be used to gain experience through making errors within a
safe environment. However, in order to prevent a situation where the trainee becomes preoccupied with the error
and trainer or management reactions to it, it is vital to have an open learning culture so that the trainee does not feel
threatened, and can focus on lessons that can be learnt. For more information, please to refer to RSSB’s A model for
the assessment of non-technical skills and the management of errors in the simulator report41. Also see section 2.2.4
‘Continuous learning and how to promote it: ‘Dynamic’ learning’.
Examples of these include:
• SPaD situations – both in helping drivers to deal with SPaDs when they occur, as well as identifying precursor cues
to errors which cause SPaDs.
• Signallers assessing different strategies to deal with operational restriction situations. The ‘what if’ approach can be
employed to explore options, with any inefficient strategies being identified.
• Evacuation procedures simulated to identify options in different situations, increasing efficiency both amongst
emergency staff and in the procedures themselves.
• Errors in track maintenance on a section of simulated track.
• Errors in handling customer complaints or enquiries.
• Errors in fault finding, diagnosis and repair.
• Responding to stressful situations, and managing workload, distractions and multiple tasks.
3.3.2.5 Environmental/operational conditions
The railway environment can sometimes be a difficult and dangerous environment. Despite the old military maxim of ‘if
it’s not raining, it’s not training!’ there can be limitations during training events for learners to experience conditions ‘for
real’.
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For example:
• Adverse weather conditions such as fog, rain or snow
• Conditions of low rail adhesion
• Day/night and other lighting or visibility conditions
• Being ‘on or near the line’
• Busy station or on-train environments
• The confusion and noise of emergency scenarios
Simulation provides consistency of training and assessment that is not possible in the operational environment.
Because the simulated conditions are controllable and repeatable, every learner can experience the same conditions,
receive or experience the same level of training, and be assessed under the same conditions.
This is important for assessment so that the performance of the learner against required standards and other
learners can be reliably measured. Simulators and computer-based training can also provide performance recording
and assessment facilities that automatically and objectively compare the candidate’s performance against pre-set
standards.
3.3.2.6 Improved throughputs
The availability and consistency of training using simulation assists the planning and throughput of learners. Traditional
training and assessment on live assets is limited by the availability of those assets and the appropriate environmental
conditions. Very often, practising an unfamiliar action on live assets takes longer than scheduled time allowed for the
action. This can have a negative effect on performance through delay.
Simulation assets can be operated on a 7 day, 24 hour basis, should the throughput requirements demand, limited
only by the availability of resource to facilitate training and assessment. Furthermore, the nature of simulation means
that learners can experience a wide range of scenarios in a compressed time frame.
Throughput optimisation is achieved by having the correct number and mix of training and assessment assets at each
stage of training. Computer-based training, either stand-alone or web based, can also be installed at the learners’
place of work thereby reducing the need to travel to a training or assessment centre and reducing time off the job.
3.3.2.7 Visible commitment to safety
Previous incident inquiries have highlighted the need for simulation in high profile occupational roles such as train
drivers and signallers.
Investment in simulators provides visible commitment that the recommendations of influential reports and franchise
commitments have been complied with.
3.3.3Drawbacks
3.3.3.1 Negative training risk
The simulation must be appropriate to the task being trained. The old debate about the transfer of training via
simulation to real world performance has mostly been overcome through advances in technology and the application
of comprehensive simulations that utilises functional fidelity together with NTS, as exemplified in the Case study:
British Airways – inspiring learners and developing competence from beyond the railway industry in section 2.2.
In fact, evidence from other industries, such as aviation, suggests that functional fidelity is of greatest importance to
transfer effects (the degree to which behaviour in a simulation transfers to the real operational environment).
There is still the need to include some OJT in the training programme and this should be determined using RBTNA
and experience levels of staff involved.
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If the performance of the simulation is inadequate, there is a danger that actions undertaken in training may prove
ineffective or inappropriate in the real environment and hence lead to negative training and safety implications.
Physical fidelity may help convince the experimental participant that the task should be taken seriously, which could
be less convincing in a more abstract environment. However, full motion simulation is not a requisite for participants to
take the task seriously – see the ScotRail case study on the next page.
3.3.3.2 Increased performance during assessment
It is a natural human characteristic when people are being observed, especially as closely as is possible with
simulators, to try harder and increase personal performance. This is particularly true during assessment.
Most candidates consciously behave in a way that increases their performance but in some cases this enhanced
performance may be so uncharacteristic of them, that it can force errors (a potentially negative experience within
the assessment context). Stress induced through assessment situations simulates the added stress that would be
present in the real-world situation being simulated. It is expected that candidates will raise their performance during
assessments.
All of this must be taken into consideration when judging a candidates performance if using simulation as a primary
means of proving competence to a minimum level. It also highlights the need to consider carefully the balance
between using simulators for assessment and learning (see the Case study: Arriva Trains Wales’ approach to
simulators as a learning tool at the end of section 3.3 and the Case study: British Airways – inspiring learners and
developing competence from beyond the railway industry in section 2.2).
3.3.3.3 False sense of security
While the simulated environment is excellent for building confidence and competence, there is some potential that a
false sense of security can be induced in learners, who may fail to appreciate the difference in consequences between
the simulated environment and the real world.
There may also be complacency with the low risk environment provided with the simulator that transfers to the work
place. All candidates must see the simulator as a professional learning and assessment tool and although it provides a
safe environment in which errors can be made, lessons learned must be applied in the workplace.
3.3.3.4 Immersion and user acceptance
The more the simulator and its whole environment is treated as a live but simulated one, the higher the user
acceptance will be, which in turn has a bearing on learners’ performance.
The professional live approach to the complete simulator environment (eg prior briefing, use of PPE, authentic
signage) can add to this acceptance and diminish the ‘games console/arcade’ mentality that some learners may bring
with them.
3.3.3.5 Physiological impact
Some types of simulation, notably with high fidelity visual simulations and motion cueing systems, or immersive virtual
reality (VR) systems, can have adverse physiological effects on some learners.
These can include disorientation, dizziness or nausea during or after a session in the simulator. Train driver simulators
are no exception and, on occasion, it has been unsafe for a trainee to drive a vehicle immediately after a simulator
session.
This may be personal to the individual (eg proneness to general motion sickness) and each learner’s ability to continue
to perform a task or duty needs to be taken into account after a simulator session.
Physiological impact mitigation is linked to the reduction of anxiety and other stressors that can impact a driver’s
performance in a simulator.
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Case study: ScotRail’s simulator assessment – an approach to
physiological and psychological impact mitigation
ScotRail is a train operating company running domestic passenger services within Scotland, northern England
and the cross-border Caledonian Sleeper service to London. It operates 95% of passenger rail services in
Scotland, providing 200 services a day and manages all but 4 of Scotland’s 344 passenger stations. ScotRail
employs approximately 4200 people.
Managing candidates’ expectations is important in mitigating the potential physiological impact of driving train
simulators. This involves a variety of methods that help relax the driver and is part of the mandatory introduction
and simulator familiarisation scenario conducted prior to any assessment at ScotRail. For candidates who
have been to the simulator previously it is important to explain what changes have been made to improve the
simulator experience since their last visit or things that have changed as a direct response to driver feedback.
Under assessment conditions it is understandable for drivers to feel anxious; their performance will be assessed
which could affect their job. However, the addition of being assessed in a simulator rather than in their familiar
train driving environment and in demandingly realistic scenarios can add to their anxiety. For some drivers it
might be the first time they are exposed to a simulated train driving environment, whereas it might be the fifth or
sixth time for others. Nevertheless, the assessment environment can be difficult for even the most experienced
of drivers, and therefore the preparation of candidates is important. At ScotRail, a ‘heart and mind’ approach is
adopted – this means that assessors give confidence to the driver, provide constructive criticism and are people
focussed. The process builds trust between the assessor and driver which is important in the assessment
environment.
The first step in managing any potential physiological and psychological impact begins by managing candidate’s
expectations and making them feel comfortable. Asking drivers how they feel when they come into the
assessment centre allows for an initial assessment of their general wellbeing. Telling drivers what they are going
to be doing and keeping them in a positive frame of mind, using language that is encouraging, also reassures
the candidates and helps alleviate some of the initial nerves.
During the preparation stage and whilst giving the candidate their assessment instructions, it is important to
emphasise that they should drive the trains as they normally would, using their normal routines and checks.
This is particularly important to help calm first-time users and can help reduce the likelihood of feeling motionsickness during the assessment. As well as checking that they have their licences and personal kit, it is
important to check when they last rested to ensure they are not fatigued, when they last ate and drank, and
whether they wear glasses (if so they should try the initial familiarisation/introduction scenario with and without
glasses on to see which option is the most comfortable for them).
Asking direct questions about whether they are prone to motion-sickness generally and what normally happens
when they experience it allows for a more in-depth conversation about symptoms and mitigations. The assessor
also explains that we are all different so a few drivers feel some odd sensations when operating the simulated
train, but this is often short lived and mild.
It might be that the driver is aware of their motion-sickness and has come prepared with their own ways of
coping with it; for example, wearing sea sickness bands that use acupressure on a specific point on both
wrists to control nausea can eliminate the sickness feelings before it begins. Sea-bands work on a specific
acupressure point (called Nei Kuan) and need to be fitted on both wrists precisely as described on the packaging
to be effective (figure 29 is an example of a wrist band).
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However, it could be that their way of coping is to
try to ‘ride it out’. If mild motion-sickness is felt,
concentrating on the task can ease the feelings of
sickness considerably as the candidate’s mind is
occupied and therefore the nauseous feelings can
quickly disappear. It is evident if a candidate is feeling
nauseous and when ‘riding it out’ is not working. In
such cases, the candidate is given time away from the
environment to relax, to regain their sense of balance
and allow their natural equilibrium to come back.
Reassuring the driver, telling them ‘it is ok’, that what
happened will not affect their assessment and that
they can do something else once they’re feeling better
are examples of how to reassure a candidate.
Figure 29: Shows an example of the
sea-band packaging
For those candidates who have not tried the bands,
it is worth offering the sea-band in a positive way,
Figure 30: From the drivers eye-line the sun visor
is raised to establish a static datum outside of the
simulation at the top of the picture
Figure 31: The driver’s eye-line the normal view
where no static datum is visible outside of the
simulation
Figure 32: Shows the peripheral vision (there is
another screen on the other side of the cab too)
which use the driver’s peripheral vision to create
a perception of movement/speed and provide an
immersive environment
Figure 33: Shows the peripheral vision screen(s)
switched off to reduce the perception of
movement and the cab light has been switched
on to reduce the dynamic impact of the forward
view
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especially if they have been previously cast aside by the
candidate as ‘rubbish’. For example, by saying that you/
others were not sure about them but actually they were
effective for you/others who have used them and explaining
how they work can encourage the candidate to try it out.
[Always read the instructions on how to fit the seasickness
bands effectively].
It is rare for a candidate to feel so sick as to forfeit the
assessment but in some cases, the physiological impact
can be quite severe and therefore frequent breaks are
important– in-between each exercise a break can be
provided with enough time for the candidate to feel
comfortable enough to continue onto the next exercise.
Wearing the seasickness band during breaks is important
for effectiveness. Ensuring the air conditioning is kept at
a comfortable level and leaving the cab or simulator door
open to reduce the feeling of claustrophobia can also help.
If the simulator has the capability to selectively reduce the
fidelity of the environment by switching off side screens for
example or adjusting the driver’s field of view to allow sight
of a datum which is outside of the simulation, then often the
feeling of uneasiness will dissipate.
Figure 34: Shows the cab door ajar which is
often used initially until the driver acclimatises
to the darker cab environment
It is important to note that some people are affected by
nausea after spending only 15 minutes in a simulator
whereas others can go for a few hours before noticing any side-effects. Therefore it is important to continually
monitor the candidate throughout the assessment and use the methods above as appropriate to help mitigate
any physiological effects of simulation. It is also important to note that after the assessment and the removal
of the seasickness bands it advisable that the candidate is allowed some time to readjust prior to leaving the
simulator centre.
3.3.3.6 Capital cost and whole life support
Technology based simulation has inherent high initial costs and also needs to be supported throughout its life
with additional maintenance programmes and continued technical support. It also needs to be housed in suitable
environments, often air-conditioned, and staff may need to be released for several days from a remote location, just for
one day at a simulator.
Whole life costs include:
• Dedicated simulator training and administration staff
• Spares and repairs
• Hardware and software support
• Ensuring continuing currency with the real-world situation
• Designing out obsolescence
• Adding performance improvement/additional features
• Power consumption
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3.3.3.7 Associated facilities cost
All simulation methods have building/accommodation implications for providing classrooms, rest areas, offices, and
space and facilities for simulators, temperature controls for different areas, noise pollution controls, part-task trainers,
and computer-based training or equipment mock-ups.
There may be other requirements from the supplier such as upgraded air conditioning, back-up power supplies and
store rooms.
All of this needs to be taken into account when allocating a suitable facility for the simulator. This may be at one facility
or spread out at more than one to make travel to the facility more economic.
3.3.3.8Procurement
The procurement of simulation has much in common with other project types with regard to the tendering process,
commercial terms and conditions, project management, payment plans and through-life support. All of this will be
underpinned by a solid business case (see section 5 on Evaluation of training and competence management activities
for details of how to develop this).
Where it differs is in the specification, development and acceptance of the final product. The most complex
procurement difficulties are experienced with full motion simulators, particularly regarding specification and acceptance
into service.
Alternative applications for simulation, such as research or incident investigations, can be used to generate revenue
and are therefore worth considering at the specification and procurement stage as a way of strengthening the business
case.
In general, current training simulators do not collect sufficient or appropriate data for research purposes, however,
they can be compatible with data input from on-train data recorders (OTDRs) and are capable of replaying an incident
but this may not be a true reflection of what took place as it may not replicate the detail of the exact environmental
conditions (weather, temperature, etc).
To modify the compatibility of an existing simulator would be an expensive exercise, but including these requirements
in the original specification should not significantly increase the cost.
3.3.3.9 Tendering process
Once a business case has been developed, an invitation to tender (ITT) can be issued. It may be more useful
to specify the layout of the tender as you are more likely to understand the content. The other option is to give
the suppliers a free hand and let them lay their bid out how they like. This can add confusion to the scoring and
comparison if they are all of an individual format.
Appendix G: Simulator procurement checklist and example tender’ contains a procurement checklist and example
tender structure/content, drawing on the experience of rail companies who have procured simulators.
The case study on the next page highlights the approach that a train operating company – in this case Arriva Trains
Wales – has taken to using simulators as a learning tool.
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Case study: Arriva Trains Wales’ approach to simulators as a
learning tool
Arriva Trains Wales (ATW) operates the Wales and Borders franchise, with services as varied as its Premier
North South long-distance service from Holyhead to Cardiff, to a network of busy commuter lines branching into
the South Wales valleys, Manchester and Birmingham.
It employs a total of 2,050 employees, including over 600 drivers, over 470 conductors, over 400 station staff,
200 traction and rolling stock staff and over 200 support staff at over 50 staffed locations.
Building a culture of dynamic learning
ATW aspires to an open and honest safety culture and sees on-going competence development as an integral
part of business improvement.
The business objective to develop a coaching culture has a comprehensive plan underpinning it. This includes
‘coaching contracts’ with employees on in-house talent management programmes.
Coaching is also an integral part of the Institute of Leadership and Management42 programme that many
managers have achieved. Additionally, employees who buddy or coach new starters are trained and assessed to
national standards at the appropriate level.
The development needs of employees are supported by
a training team based at training centres in Cardiff and
Chester.
The team’s philosophy is to be a cohesive, disciplined
unit that does not just ‘do the normal’, but is encouraged
to innovate, be creative and do things differently,
particularly in terms of challenging learners to take
ownership of their competence development.
The team sits within the Human Resources function.
There is wide acknowledgement that in the past, the
team was primarily involved with new entrant training
and designing safety training days for line managers to
Figure 35: ATW in cab simulator
deliver. However, in recent years, the team has worked
far more closely with other departments on a wider
range of workstreams that cover the on-going competence development of individuals and teams and which
includes the delivery of driver safety training days in ATW’s two simulator centres.
As a result of this, the relationship with frontline
employees has also changed. Trainers are seen as
supporting partners for employees who have identified
issues with their own competence. This allows the
trainers to give open and honest feedback, whether
formally (at least once a week on new starter courses)
or informally. Trainers see it as critically important that
they work in partnership with line managers in order
that the competence development of employees can be
maximised.
Figure 36: ATW trains at Machynlleth station
www.rgsonline.co.uk
One of the mechanisms that has been instrumental
to the development of a culture of dynamic learning is
the way that train simulators have been incorporated
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into ATW’s on-going development training. Although these simulators are predominantly used for driver and
conductor training, they have had an effect on the way competence development is approached across the
company.
Determining an approach to use of simulators
The approach to the procurement and use of the simulators typifies ATW’s approach to the adoption of good
practice. Various factors, particularly to do with a lack of capital investment during previous franchises, meant
that ATW was able to learn from the experience of other companies with simulators.
During the procurement and development process,
training staff and management undertook technical
visits to learn from other companies’ experience. This
‘watching and learning’ approach has contributed to
the success of the simulators and other competence
development initiatives.
Figure 37: Simulator room
However, the approach is not just about following the
crowd. The way that ATW creatively adapts this good
practice to its own operation that has led to the success
of the training team. Sometimes, adaption is even
necessary to cater for the varying needs of different
parts of the company. For example, some initiatives that
work well in the south do not work as well in the north, or
some for the mainline are not relevant to Cardiff Valleys
operations.
When the decision was made to explore procurement of simulators in more detail, it was not part of the franchise
agreement. Therefore, a comprehensive business case needed to be prepared. This process helped the
company really understand the costs and benefits of simulation and procure the simulators according to a highly
focussed functional and technical specification which would ensure that these expensive resources did not sit
unused once they were installed.
The simulators were earmarked for activities that would ‘make a real difference’, such as initial and refresher
training (particularly traction problem solving – a popular challenge with drivers but one which can lead to
significant delays if not met correctly), and building confidence on return to work or after an incident.
Managing changes in competence culture through the introduction of simulators
The introduction of new technology and methods always brings with it a certain level of uncertainty, even
fear. Frontline employees and their representatives were worried that simulators would be used as a way of
separating ‘good’ from ‘bad’ drivers, with the possibility of being disciplined as a result.
This was not the intention at all. To quell these fears, the company worked closely with union representatives to
draft a policy for how the simulators would be used. The main principle was that, initially, the simulators would be
used for Safety Training Update Days (STUDs), rather than competence assessment. The policy also included
assurances about simulator sessions not being recorded without the expressed permission of all parties.
During the design and development phase, ATW also ran previews through desktop simulators at key locations,
and regular updates in safety training briefings. On introduction of the simulators, open days were run where
employees from all parts of the company could bring their family to experience driving the simulator.
The simulator centres and activities have been designed with adult learners in mind. There are no classrooms
with austere rows of desks. Instead, comfortable furniture takes away the air of formality, something which
learners feel helps them relax and learn better.
The simulators are operated by trainers who are encouraged to be creative in the development of adult learners.
This includes encouraging learners to pick their own scenarios, ensuring that they take responsibility for
identifying their own development needs.
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Safety training update days (STUD)
The principle use of the simulators, so far, has been for STUDs. The first STUD was carefully planned as a
familiarisation exercise, again to allay any fears or misconceptions. The introduction to the day (and subsequent
STUDs) was carefully designed, highlighting the professional, relaxed nature of the day, and the aspiration for
learning to take place.
Drivers were not just shown the cab environment, but
were given a detailed tour of the entire setup, including
the workings of the simulator ‘behind the curtain’ and
how the instructor’s station was used. Each driver
was given the opportunity to drive the simulator with
a deliberate plan that the driver in the cab would be
guided by the group learning taking place in the training
room. That element was significant in setting the
learning climate and removing anxiety.
Figure 38: Simulator room discussion
Subsequent STUDs have seen the challenge level
increase, but the innovative group format continues to
take away fear of ‘failure’ and maximises the potential
for learning.
Owing to the geographical spread of the depots, drivers who have to travel some distance to the training
centre for the STUD are supplied with a portable DVD player and the latest cross-industry training resources
(such as the ‘Red’ series, for example), so that the journey time is not wasted and they arrive at the STUD
ready to participate fully. This was piloted during the second STUD as drivers had said they wanted more time
in the simulator. This now forms part of each STUD and has also been successful with conductors’ STUD
too. The business of briefing Rule Book updates
and other changes to processes/procedures has
also been incorporated into the STUDs, with specific
changes incorporated into simulator scenarios, if
appropriate. Drivers have commented on how much
more professional an approach this is than just leaving
updates in drivers’ drop files for them to sign for.
Drop in and use the Sim!
Ó
ÓÓ
The Arriva Trains Wales
simulators are available for all
drivers and guards to refresh their
knowledge, every Friday
between 1000-1500
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Protection
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Temporary
Block Working
Door Isolation
Rule
Refreshing
Group learning
The idea of using a simulator for group learning, where
only one learner can be in the cab driving, raised two
questions:
• How do you keep the rest of the group interested?
• How do you avoid putting too much pressure on the
driver in the simulator, who has to perform in front of
colleagues?
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TIS Isolation
TPWS
Refreshing
Sanders
Degraded
Working
Emergency
Procedures
Low Adhesion
Signalling
Own your
competence!
General Fault
Finding
AWS Isolation
Telephone to confirm trainer availability:
Training Centre  029 2032 0053
Sim Centre  029 2032 0039
Figure 39: Using the simulator poster
www.rgsonline.co.uk
The answer is that as scenario unfolds, the event that
relates to the learning objective of the scenario occurs,
but it is not just the driver in the cab who comes up with
the solution. Instead, there is a group discussion outside
the cab and use of processes/discussions to find the
correct solution and outcome. This can be a discussion
based on driving techniques, rules and procedures,
faults and failures or a mixture of all of these.
Post-scenario discussions are also used, and the
trainers have found that learners have been really
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Planning learning interventions and effective competence reviews
open and honest. They feel that it has helped drivers to bring issues to the surface that would otherwise have
remained hidden. This is helped by the high level of fidelity of the simulators, creating an immersive learning
environment and triggering recall of specific incidents/near misses from long-term memory.
Error-based training and non-technical skills
Because of the relationship that has been built up between trainers and learners, there is sufficient trust to
deal with errors in the simulator in a positive way. If errors are made within a scenario, no blame is attached
to anyone (least of all the driver within the simulator). Instead, the group discusses the reasons for the error,
identifying strategies which will help them prevent similar errors when driving ‘for real’. Relevant non-technical
skills (also see sections 1.1 ‘What is competence?’ and 3.1 ‘Learning: Methods and structure’ on NTS in this
GPG) are discussed and practiced as means of mitigating error in future.
Making a mistake is now seen as a learning opportunity. Individual learners are now starting to ask to be put in
more challenging scenarios that are deliberately designed to elicit debate to allow learning to take place. Indeed,
they are encouraged to ‘drop in’ to the simulator and tailor their own session on one day each week.
Scenarios
Most scenarios are based on needs of business (operational trends) but mainly on the feedback of the learners.
Staff from other areas of the business have also benefitted from the STUD programme. A combined STUD with
conductors was very successful which focused on evacuation and other topics relevant to both groups. The
plan will be to make this an annual event. Control Centre employees have also attended and gained a valuable
insight into the drivers’ world. Feedback suggests that this has strengthened the controllers’ understanding of the
driver’s role, especially in regards to faults and failure scenarios.
Reaction to STUDs and simulators
This approach has totally ‘removed the fear’, in the words of one ATW manager. In fact now, drivers are not
only keen to be the one in the cab, taking on the challenge with or without the help of their colleagues, but are
also indicating that they are keen to develop their competence portfolio in the simulator. Usage may evolve to
assessment within the context of being able to offer more focussed coaching and development.
This approach has enabled the trainers to be regarded as a helpful resource for employees. Previously, there
would be very little contact with drivers after completing their initial training.
Longer serving drivers are beginning to acknowledge that those with fewer driving years who have been through
initial training more recently are sometimes more proficient at dealing with traction faults and failures and other
unusual situations. This acknowledgement means there is a level playing field in the debate during scenarios.
Line managers
Relationship with training team
As mentioned above, everyone at ATW recognises the importance of the training team working well with other
departments. The relationship with driver team managers is seen as particularly important.
A close working partnership on competence development matters has developed between trainers, the
operational standards team and line management, particularly in terms of STUD design and review. Involvement
in these processes seems to have helped everyone recognise the potential of competence development
activities to deliver significant safety and performance improvements.
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Future developments
Building on the culture of dynamic learning
Operational staff are becoming increasingly confident about having more of a say in the management of their
own competence. This is partly because of the use of simulators, but it is acknowledged that this is only part of
the story. If the simulators had not been available, ATW is confident it would have found another way to build
such a culture.
Integration of non-technical skills into training and assessment
Nevertheless, using the simulators in such a positive way, encouraging learning and removing the fear which
prevents learning from errors, has undeniably had benefits. Through the types of activities carried out on
the simulators, drivers are developing an appetite for non-technical skills NTS, ie skills such as situational
awareness and decision making and how these can be applied to enhance technical tasks, without even
realising it.
Although the simulator activities are mainly confined to drivers, ATW is examining ways for NTS to be fully
integrated into training and assessment for all roles. This is not without its challenges, particularly finding
the time for managers to provide feedback on NTS, and building their confidence in NTS measurement and
feedback.
Risk-based training needs analysis (RBTNA)
ATW was closely involved with the development of RSSB’s RBTNA methodology and template. This involvement
was mainly through the training team with key internal stakeholders, and other departments are interested in the
results, being open to the idea of the RBTNA influencing decisions about competence management activities.
Possible uses for completed RBTNAs include comprehensively reviewing initial and refresher training,
competence standards and other activities within the competence cycle, ensuring they are risk-based and
appropriate to the competence development needs of different operational staff.
Return on investment
It is mostly too early to tell whether the simulators and involvement in other competence management
innovations (such as the Risk-based training needs analysis and Non-technical skills projects) have provided
a return on the capital expenditure and resources invested. However, general indicators such as SPAD rate,
sickness and morale are showing good signs.
Although nothing has been ‘scientifically’ measured, the ATW team is confident that the expense of releasing
operational staff for STUDs and other training is realising much more of its potential. The main benefits
have been to the driver community, and now the challenge will be to ensure that these benefits are realised
throughout the company.
Key learning points from section 3.3
• There are two main types of fidelity: physical and functional. Simulation can be developed to assess all areas
of competence: technical, knowledge and NTS.
• There are numerous benefits of using simulation, but the simulation must be appropriate to the task being
trained and should be supplemented by some OJT as relevant.
• For ScotRail, managing candidates’ expectations is important in mitigating the potential physiological impact
of driving train simulators. This involves a variety of methods that help relax the driver.
• Arriva Trains Wales has been building a culture of dynamic learning, with coaching being an integral part of
competence development. Trainers are seen as ‘go to’ people, utilising an open and honest feedback culture,
and train simulators have been incorporated into ATW’s ongoing development training.
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Planning learning interventions and effective competence reviews
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4.Supporting effective
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Uncontrolled When Printed
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Supporting effective competence management systems
This section on supporting effective competence management systems looks at three areas:
Section 4.1: the need to explore the role of the trainer outside of the traditional references.
Section 4.2: the crucial role line managers play in providing competence development opportunities for their
staff, as highlighted in the Case study: Arriva Trains Wales’ approach to simulators as a learning
tool.
Section 4.3: in addition to all the information in the sections that cover aspects of competence development for
all staff, there are some further considerations for train drivers covered in this section.
4.1 Training staff
4.1.1 Roles and responsibilities
Traditional training roles have become so embedded that it is impossible to hear the word ‘trainer’ without the image of
a classroom being conjured up. The same can be said of the association with ‘instructor’ with on-the-job training.
In an earlier part of this GPG (section 3.1), a wide variety of learning methods and media, backed up by sound
learning theory, suggests there is a need to explore the role of training staff outside these traditional definitions.
Indeed, with all the influences that can affect competence management, there is a case for looking at the component
parts of roles which affect competence development.
4.1.1.1 Factors affecting composition of training staff roles
Factors affecting composition of training staff roles should be borne in mind when shaping training roles which best
meet the needs of learners within the context of a particular training programme or wider competence management
system. Consideration should to be given to the support and resources (particularly in terms of time) needed to
balance these factors, such as:
• Level of knowledge and experience of applying a training needs analysis (TNA) or the Risk-based training needs
analysis – this is important for understanding how training objectives and evaluation outcomes are derived, and for
designing or developing courses, and validation exercises.
• Amount of contact with learners both during and outside of formal learning activities.
• The need for maintenance of competence (both training and otherwise).
• Documentation requirements.
• Design, development and evaluation activities.
• Learner-to-training staff ratio for types of methods and media being used.
• Preparation.
• Assessment (including marking).
• Support for other competence management activities beyond the specific scope of the training role.
• Job rotation and enrichment.
4.1.2 Training staff competencies
The competencies of training staff can be broken down into several discrete categories, which can be combined
depending on the nature of the training role:
• Training skills – the ability to facilitate the development of skills and knowledge, consistently and in accordance
with the company’s defined requirements, effectively using the full range of methods and media identified and
available for the purpose.
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• Assessment skills – the ability to conduct formal or informal assessments against defined standards and
performance criteria, consistently and impartially.
• Pastoral skills – training staff may be the principal point of contact for candidates who encounter problems during
formal training. These may relate to their work or training performance, or may be personal issues. Training staff
must be able to respond sensitively to issues observed or reported by learners, and implement appropriate actions
to resolve or mitigate them.
• Managerial skills – to deal with any disruption to training authoritatively, and in line with company policy, process
and procedures.
• Coaching skills – to reinforce the message that competence development is an ongoing process, and that the
manager’s role is to get the best out of his or her staff (see Case study: ‘Coaching for Success’ at Northern Rail –
approach to using coaching for competence development for line managers).
• Technical competence – for some training roles, it may be necessary to have competence in the role being
trained or assessed. This helps with the development of flexible and responsive training, as well as ensuring
credibility with learners.
• Non-technical competence – as non-technical skills move up the competence agenda, it is important that
managers have a sound understanding of NTS and how they apply to the role.
4.1.3Selection
Training staff roles are sometimes not viewed in an aspirational way, yet the roles require comprehensive skillsets,
bringing with it challenges and credibility, the chance to use good practice to change the culture of an organisation and
can be seen as an inspirational role to others. One way to improve the professional profile of training roles is to put in
place a comprehensive selection process which fully assesses the capability of candidates. This should be in line with
the competencies outlined above, described in a detailed job description.
Although vocational experience has been given high importance in selection of training staff there are also leadership
and managerial aspects that should not be overlooked.
To ensure the highest calibre of candidates apply, some possible routes that can be explored are:
• Specifying existing training, coaching and/or assessment qualifications as a pre-requisite for application.
• Assessing candidates’ interaction with ‘real’ learners (if necessary, as part of a role play), not just in a classroom
scenario, but in terms of how they assess their individual training needs, cognitive and learning styles, and how
they handle pastoral issues (such as personal welfare, health, social, emotional or intellectual needs).
• Assessing candidates’ ability to be inspirational, not just through training ‘delivery’ (commonly assessed by
asking candidates to give a presentation), but through their ability to inspire learners to take ownership of their
competence development.
• Assess candidates’ perspective on learning methods and media, to see whether they are open to and actively seek
out emerging good practice in learning and development.
• Assessing candidates pastoral skills, through participation in role play scenarios, if possible with professional
actors.
• Measuring the assessors’ understanding of the role of NTS in technical tasks.
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4.1.4 Competence development and qualifications
Competence development requirements of training staff should be identified, addressed and managed using formal
and rigorous processes, consistent with those described above for meeting other learners’ development needs. Ideally,
new training staff should be appointed a ‘mentor’ to guide and assist them when taking on new responsibilities or
working towards a specific qualification.
In common with most other skill areas, qualifications for training staff and training managers can be achieved through
a variety of routes.
Qualifications and Credits Framework (QCF) relevant to training staff
Level 3 Award in Understanding the Principles and Practices of Learning and Development
Level 3 Award in Facilitating Learning and Development
Level 3 Certificate in Learning and Development
Level 4 Award in Learning and Development
Level 4 Diploma in Learning and Development
Level 3 or 4 Award in Preparing to Teach in the Lifelong Learning Sector (PTTLS)
Level 3 or 4 Certificate in Teaching in the Lifelong Learning Sector (CTTLS)
Level 5 Diploma in Teaching in the Lifelong Learning Sector (DTLLS)
There is a suite of QCF qualifications in Learning and Development which offer qualifications at levels 3 and 4 (the
qualification previously offered at level 5 is no longer available) relevant to most roles.
It is common in the industry for training practitioners to achieve individual units of competence from this suite
according to their role.
A more recent development is a new series of qualifications designed to bring people who teach adults into line with
other professional teachers. These qualifications are available to all in these roles but are a requirement for people
working in Further Education and publically funded workplace training such as Apprenticeships. The entry level
qualification is ‘Preparing to teach in the Lifelong Learning Sector’ (PTLLS), an Award which can be achieved at level 3
or 4. There is also a Certificate (CTLLS) and level 5 Diploma (DTLLS).
Through the Institute for Learning (IfL) individuals completing the Certificate can apply to be recognised as an
Associate Teacher Learning and Skills (ATLS) and those achieving the Diploma a Qualified Teacher Learning and
Skills (QTLS). Note that people with some existing qualifications can also apply and qualify for exemption. See the IfL
website at www.ifl.ac.uk43.
The Chartered Institute for Personnel and Development (CIPD) is the professional body for all HR practitioners and
offers its own qualifications: the Certificate in Training Practice and the Postgraduate Diploma in Personnel and
Development. Success in these (as well as other routes) leads to membership of the Institute at the appropriate level.
See the CIPD website at www.cipd.co.uk44.
For details of qualifications for assessors and verifiers, see Assessor training and qualifications.
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Case study: Delivering capability at Network Rail – moving
beyond traditional training roles and stereotypes:
the Workforce Development Specialist
Introduction & background
In recent years Network Rail has identified a requirement to significantly cultivate the role of ‘trainer’ and has
started a process to expand its scope and potential as an agent of change within the organisation.
It was recognised that development of the role itself, as well as the continuing and professional development of
those people fulfilling it, was crucial to truly impact upon safe behaviours and the development of the knowledge
and skills of the workforce.
A programme of development has been implemented, commencing with the delivery of a ‘Training for
Excellence’ skills programme in 2009, delivered at the organisations’ flagship training facility at Westwood near
Coventry. Since then, of course, fresh challenges and new changes have provided further impetus for the
organisation to effectively engage with those who facilitate learning. Additionally this will ensure that they are
equipped with the resources, tools, environment and skills to effect a significant impact on the achievement of
the company’s business plan and reinforcement of its core values.
Figure 40: Instruction training with WDS
To produce truly effective and inspirational learning
events it is important that the individuals delivering
training are exemplars of best training practice and
are able to apply a range of training delivery methods;
ranging from presentations, case studies, simulations
(technologically focused or otherwise), facilitated group
discussion, practice, experiential learning exercises,
problem solving, self-study, supported e-learning and
a whole range of other options dependent upon the
needs of the learner and the requirements of the subject
matter. Individuals should also be using materials that
have been developed using best-practice processes and
techniques, ISD (see section 3.1 for Case study: Network
Rail’s AzLM Axle Counter Training course – moving from
a predominantly theory/ knowledge based approach to
a truly blended approach), incorporating analysis and
evaluation, and utilising the resources within the state-ofthe-art facilities.
It was for these reasons that the new role of Workforce
Development Specialist (WDS) was created. The old
core provider-of-instruction role has been complemented
by a more ‘facilitative’ range of delivery methods, with
far greater input into designing and developing training
courses and continuing assessment of the wider impact
of training interventions.
Figure 41: Training with a WDS using
track equipment
Above all, the intent was, and continues to be, to
raise the quality of service provision to customers and
consumers and display the skills and kudos necessary
to act as a role model for Network Rail and, indeed, the
industry.
Due to the significant increase in scope and impact of the role, WDSs were re-banded to a management level
within the organisation. A significant change programme was implemented and a range of development/learning
interventions were introduced for all role incumbents.
The intended outcomes and benefits of the change programme were to embed within the scope of the role
a focus on customer requirements and closer integration with business objectives. The continuing plan is
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to evolve the trainer role from solely delivery of training to a role that offers facilitation of learning, coaching,
mentoring and follow-up in the workplace to assess the ‘impact’ of training and provide further help and guidance
as appropriate.
Following classroom based training delivery a schedule of visits to depots by WDSs enables follow-up with
learners. Active engagement with the learners’ immediate supervisor may identify further learning needs and
result in the delivery of learner-focussed coaching and mentoring in the workplace by the WDS. This ensures
that training delivery is practically applied and impact reported and reinforced.
Developing coaching
At the time the Workforce Development Specialist role was introduced, it was recognised that some trainers
may need guidance and coaching to integrate their existing skills into the new role. The output and behaviours
associated with the role differed from the more traditional approach so it was important that the requirement for
individual development was addressed. A team of coaches was identified nationally and, primarily utilising the
GROW model, a programme of development was embarked upon, culminating in recommendations for further
development and experiential learning.
Developing training
To support trainers in growing into and establishing themselves in their changed role, a programme of training
and development was designed and is in continuous roll-out throughout the organisation.
Workforce Development Specialist Development Opportunities
A progressive, modular
programme
is delivered at Network Rail Training Centres consisting of a core
Core tCore rainer trainer Core trainer development development development programme and modular options as shown below in figure 42:
5 days Designed for those new into Train the training or w
ith tvrainer ery limited amount of training 5 days experience Train the trainer 5 dtays Designed for hose new into training or with very limited amount of training experience Designed for those new into training or with very limited amount of training experience Minimum 6 months training experience required prior to Developing training skills a?ending. Aimed at delivering 5 days more engaging/facilitaCve training Developing t raining skills Minimum 65 m
onths training days experience required prior to a?ending. Aimed at delivering Minimum 6 months training more engaging/facilitaCve experience required prior to training a?ending. Aimed at delivering more engaging/facilitaCve training The initial ‘train-the-trainer’ and ’developing training
skills’ modules are designed to introduce the
skills, qualities and attributes required in a training
delivery role. They cover an introduction to the
necessary underpinnings of adult learning and
provide opportunities for observed practice sessions
and feedback. There is a gap of six months
between the delivery of these modules to enable
mentoring, coaching and practical experience in the
workplace.
The advanced workforce development modules
consist of a number of options that focus on the
ADVANCED TRAINING SKILLS analysis of subject matter and the design and
4 days development of training materials. Since the
Analysis and Design Adult learning awareness Skills coaching and Mentoring 2 days inception of the WDS role, WDSs have been
1 day ADVANCED TRAINING SKILLS 2days Development, ImplementaCon allocated to the production of training materials.
4 days and Impact Assessment Skills coaching and Mentoring This is managed by Network Rail’s Materials &
ADVANCED T
RAINING S
KILLS Human F
actors Analysis a
nd D
esign 2days 2 days Adult learning awareness 4 days 1 day 2 Systems team, normally by a rota system but
1 day Analysis aImplementaCon nd Design Development, also dependent upon their technical ‘specialism’,
Adult learning awareness and Impact Assessment 2 days 1 dFay the wider materials development programme and
Human actors 2 dImplementaCon ays Development, Figure 42: Extract
from
the WDS programme
outlining the needs of the customer for specified training.
1 day and Impact Assessment the development
opportunities for
WDSs
Human Factors 2 days WDSs are therefore trained to contribute to this
1 day programme and benefit from a development option
that covers the ISD methodology for the production of training and assessment materials content (see the
Network Rail case study in section 3.1).
Advanced Advanced trainer Advanced trainer trainer development development development Workforce Development Specialist Development Opportunities
Workforce Development Specialist Developing training skills Train the trainer Opportunities
5 days Development Skills coaching and Mentoring 2days There are also modules that cover human factors, an awareness of adult learning (including skills-for-Life,
functional skills
etc) and an introduction to skills coaching and mentoring. Opportunities to incorporate follow-up,
generic coaching and non technical skills, and to screen all training materials to ensure they are accessible to
people of all backgrounds (eg remove details that could make them more difficult to read), are currently being
explored.
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The programme of development open to WDSs also includes a range of options that includes modules within the
management development suite, such as ‘practical leadership’, and ‘foundation in management skills’, and leads
onto programmes in ‘leading and managing teams’ and a ‘stepping stones’ programme for business leaders.
Career and personal development options, therefore, form an element for the WDS that encourages a more
holistic and business-focussed approach to training delivery and provides a route for progression and continuing
development.
Challenges
For some experienced trainers the shift from (what is perceived as) technical instruction to the facilitation of
learning requires the unlearning of traditional practices that have been developed and encouraged over a long
period of time.
Often ‘technical trainers’ have a basic tendency to tell
their trainees all that they know about a subject matter,
with the result that interaction is minimal, whereas a
‘facilitator’ has to rely heavily on active engagement
and interaction with the learner following the tenet ‘ask’,
‘listen’ & ‘guide’ – instead of, perhaps ‘tell’.
Training delivery methods depend both on the objectives
to reach and the profiles of those who are to be trained
(role, level, experience, existing skill etc). In a large
organisation such as Network Rail, the trainer may not
always have all of this information. This makes it even
more important that the learning objectives are well
Figure 43: Instruction training using equipment
defined and that the intended learning outcomes of each
session are clear – enabling the trainer to respond to
the business and the learner requirements and achieve the intended outcome by whatever approach is required
to fulfil all expectations. It is therefore even more important that WDSs are involved in the design of training
materials and lesson plans.
For the more facilitative style to be successful the groups’ learning styles need to be either understood. This
is so that a range of styles can be incorporated into either the design of the content/lesson planning. The
challenge for the trainer is to adapt any learning intervention to engage and inspire the group. He or she must
be comfortable with the content and flexible about how it is delivered, meaning the trainer does not dictate the
direction of the session as much as the traditional ‘imparter of information’ might do.
A more facilitative trainer is required to let the group lead where they wish and is there to ask (but not always
answer) questions, ensuring the quiet ones speak and the loud do not dominate. In this context, ‘less is more’
which is a challenge for the type of training professional who tends to speak more than the delegates.
There are many examples that demonstrate enthusiastic engagement in a programme of learning by WDSs
and its application in training centres and beyond. Many experienced and knowledgeable trainers have been
required to ‘unlearn’ well-worn practices and have personally created different training delivery methods to
ensure better understanding and an improved learning experience for the delegate.
For example, within a ‘Crane Controller RRV3’ course the content includes challenge for the trainer to achieve
a technical understanding of the ‘included angle’ of a multi-leg chain to ensure a safe and stable lift. To
achieve the required learning outcome, utilising traditional ‘PowerPoint’ or even drawings is inadequate, time
consuming and often confusing. The production of small-scale working models to demonstrate the theoretical
underpinnings has resulted in a much improved and practical session that is perceived by learners as more
understandable, engaging and fun – leading to a higher degree of interaction and improved course feedback.
Such imaginative and creative training delivery would be beneficial to other subject areas where theoretical
content is challenging and especially when these have previously been delivered using ‘dry’ methods and media.
One such example could be demonstrating the result of instability on uneven tracks for a tandem lifting machine.
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Conclusion
The role of WDS has progressed since its inception as a result of the engagement of ‘role model’ WDSs and the
manner in which they have responded to the challenges presented to them.
It is incumbent upon any organisation to encourage and ensure the sharing of best practice, identify
opportunities for development and growth and to empower people to apply energy to creative problem solving.
There is an increasing impetus to incorporate behavioural component into what was traditionally considered
to be technical training. Integrating behavioural safety and non technical skills elements presents a challenge
to training design and to the skills needed for training delivery. To engage in the more facilitative style that is
required to deliver both technical and ‘behavioural’ content, WDSs will need to continue on the path commenced
with the creation of the role – and will need to be supported and encouraged in this by the organisation via
continuing coaching, feedback training and personal development.
Key learning points from section 4.1
• Social learning theory and the plethora of learning methods and media available suggests that the role of
training staff is broader than the traditional classroom or practical training dimensions. There are several
factors that affect the composition of training staff roles which should be addressed.
• Staff competencies can be broken down into training skills, assessment skills, coaching skills, pastoral skills,
managerial skills, and technical and non-technical competence.
• Selecting training staff should cover all aspects of the competencies and not overly emphasise technical
competence. There are several ways of attracting high calibre candidates to apply for training roles.
• Competence development requirements of training staff should be identified, addressed and managed using
formal and rigorous processes, consistent with those for meeting other learners’ development needs. QCF
and Teaching in the Lifelong Learning Sector are useful qualification frameworks to use.
• Please see The Institute for Learning43 and Chartered Institute for Personnel and Development44 websites for
information on achieving qualifications.
• Having identified the need to develop the role of ‘trainer’, Network Rail introduced a new role of Workforce
Development Specialists that complemented the previous roles and included training course development,
assessment of implementation activities and raising the quality of training.
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4.2 Competence development for and by line managers
Despite the crucial role line managers play in providing competence development opportunities for their staff, there is
little guidance available about management competencies required.
Line managers have been historically selected for their technical competence, rather than an aptitude for
management. This may leave them well placed to carry out competence assessment of their staff. Line managers
have a role to play and are often mentors, coaches and buddies to their staff, providing a platform for supporting
learning. However, as discussed in the section on assessment, some companies have chosen to separate out this
activity to a discrete role.
Managing driver managers: R&D project T343
In addition to the T869 NTS project, RSSB’s T343 Managing Driver Managers45 research project produced
guidance and good practice examples that may, when implemented, deliver improvements in company and service
performance, passenger and driver safety. Whilst technical skills are acknowledged, the focus of this guide is on
management skills and the process of supporting driver managers.
The good practice examples allow information to be shared across the industry about issues that organisations
have reported, the reasons they occur, and practices that have proved useful in dealing with them. Although not all
the guidance given in this document will suit every company, the research project can help organisations consider
how they can improve the performance of frontline managers as it highlights a number of key issues relating to
driver managers and details why these issues arise. It also provides examples of good practices that consider
underlying causes of shortfalls and options for addressing them.
For further information on this research project, please see the RSSB website.
As with the assessor role, standards, qualifications and CPD are important for the line manager role. Further
information about qualifications is available from the Chartered Institute for Personnel and Development44 website.
4.2.1 Role of line managers in developing NTS
Line managers are vital in supporting the ongoing development of their staff’s NTS. As with any organisation change, it
is important that managers buy-in to the value of NTS development and consistently demonstrate this commitment.
As part of the T869 Non-technical skills for rail project, trainers, managers and frontline staff involved in the
development of the training materials were asked to reflect upon the skills needed by managers to support
development of NTS. The following list was produced:
Knowledge
Knowledge / Skills / Attitude
Knowledge of safety-critical NTS and their relevance
to the role
Knowledge of what should be documented and how
Self-awareness
Skills
Objective observation
Prepared and organised
Good listener
Clear communication
Flexible
Motivational skills
Assertive
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Further explanation
Explains what each NTS is and how this relates to
their staff’s role.
Consistently documents their staff’s NTS using
company forms.
Shows awareness of own communication style and
own NTS challenges.
Objectively evaluates their staff’s NTS.
Provides clear and well-structured feedback on NTS.
Through active listening, shows that they are keen to
understand others’ rationale for actions and behaviour.
Puts points across clearly and without jargon so that
they can be understood by others.
Adapts own feedback style to the individual.
Uses managerial skills to motivate others to perform
safely.
Provides feedback in a constructive way.
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Attitude
Supporting effective competence management systems
Positive approach to NTS and keen to promote their
relevance and value
Keen to contribute to the ongoing development of
NTS within the organisation
Takes a learning approach to mistakes
Demonstrates commitment to promoting the
importance of NTS.
Demonstrates commitment to developing the NTS
competence of own staff.
Treats mistakes as an opportunity to learn rather than
blame.
Figure 44: NTS skills for line managers
The outputs of the T869 project include a training course that has been specifically designed for managers to help
build their confidence in understanding, measuring and developing their staff’s NTS. This includes guidance on how
to be as objective as possible, by making measurements of NTS evidence-based and using questioning to gather
evidence. It also helps develop the manager’s role as a coach in their staff’s competence development. For more
information please see the T869 project outputs on the RSSB website.
Management and Leadership – both important but different
There has been much debate about the similarities and difference between being a manager and a leader. Within
any level of an organisation, a manager may well be a leader but it is important to recognise that they are two
different roles that fulfil different purposes.
Bennis and Nanus (1985) note that many organisations are ‘over-managed and under-led’. They stress that
management and leadership are both important but different. The manager is concerned with accomplishment,
taking charge and having responsibility whilst the leader is trying to influence and guide to bring about some
desired future state. Whilst managers do things right, leaders do the right thing.
Managers take on many roles: they allocate resources, deal with conflicts and disturbances, provide liaison with
the rest of the organisation, represent the organisation in the wider world, etc.
Just like leadership, management has been studied heavily and there is a lot of literature available that address
good practice for all different areas of management (recommended further reading: Drucker, 199946; Handy,
199947; Mullins, 199948; Adair, 200449). It is important to note that underpinning all aspects of good management
practice is management development. For the organisation this means formulating a policy and strategy for
continuing management development and making available the resources necessary for them to be properly
implemented (this includes qualifications such as NVQs – see Competence development and qualifications’). At
the level of the individual manager, good practice entails regular review of performance (ideally both from those
who manage the manager and those who are managed), the setting of development objectives, and the pursuit of
these objectives through both formal and informal means.
Leadership has been the most studied aspect of human behaviour (Dulewicz and Higgs, 200550). Over its long
history the concept of ‘leadership’ has changed dramatically. Leaders were first seen as being ‘born, not made’
and leadership was something that you had or you did not have. Nowadays there is much greater emphasis on
leadership as a set of skills that most people can learn and it is possible for leadership to be used at every level of
an organisation. This rich history has resulted in a widely accepted view that there is no one best style, but rather
the style should be adapted to fit the situation or specific group of people. It all depends on a number of factors,
including:
• The position and nature of the leader
• The nature and diversity of their team
• The task to be done
• The organisational norms
• The wider situation
Some of the key attributes used to describe successful leaders are:
• ‘Integrity’.
• ‘Vision’ (ie being geared towards the future). Successful leaders can inspire people by sharing that vision,
setting clear goals and motivating people towards achieving them.
• The ability to communicate, both in terms of words and actions.
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• ’Acting as a role model’, exemplifying the values of their organisation, and build trust in themselves and the
workforce.
• Knowing their strengths and how to exploit them, and also knowing their weaknesses and how to compensate
for them.
• Emotional intelligence; they are able to recognise their own feelings and those of others, and are able to
manage their emotions well.
There are several styles of leadership that could be used to fit any given situation. The more approaches a leader
is familiar with, the more tools they will be able to use to lead effectively.
For some useful initial reading on leadership, please see Bennis and Nanus (1985)51, Schein (1985)52, Adair
(2002)53, and Armstrong and Stephens, (2005)54.
4.2.2 Identifying and managing substandard performance
Even without the competence ‘decision’ element, there are other elements of line management roles which relate
to the competence development of staff and peers. Ultimately, a line manager is responsible for managing the
performance of a member of staff. This is obviously particularly urgent when performance is deemed to be nonoptimal.
4.2.2.1 Recognising when competence is (or is not) the issue
Non-optimal performance can be identified through:
• Investigations into incidents and accidents
• Planned reassessments
• Planned monitoring/observation
• Unplanned monitoring/observation
A gap between a required standard of performance and an observed standard of performance may be associated with
one or more of a range of contributory factors.
These factors can be present within all levels of an organisation. Some examples that may impact performance are
provided in the boxes:
•
•
Poor safety culture
Company reorganisation or restructure
•
al
In
•
ce
Jo
anisation
Org
workpla
b/
dividu
•
•
•
•
•
•
Competence retention issues, eg
an individual may have received
training but had insufficient
opportunity to practice
Poor team working, eg poor
communications
Excessive workload
Time pressure
Lack of experience, eg the individual may have
rarely (or never) performed a task under these
particular circumstances
Fatigue, caused by changes in shift patterns
Changes in health
Personal difficulties, eg bereavement
Figure 45: Factors affecting performance – The individual, the job or workplace, and the organisation
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Error = incompetence?
The RSSB Human Factors team runs regular courses on Human Factors Awareness for Incident
Investigators and managers.
An element of this course involves distinguishing between types of error and violations, as part of establishing
the root cause of an incident. It is important to remember that there may be many factors that contribute to
incidents and accidents, and many different kinds of people can be involved – not just the frontline staff at the
sharp end.
Even when errors do occur, this does not necessarily
mean that the individual involved is incompetent and
in need of retraining/development. Errors are not
random events but rather, they are a consequence of
what normally goes on in our mind, arising because
of inattention, incomplete knowledge, sparse sensory
data, misperceptions, forgetting something, problems
in our relationships with colleagues, friends and
family, and so on.
The course enables incident investigators and
managers to further develop their understanding of
why people make errors, and the role human error
can play in contributing to accidents and incidents.
Figure 46: James Reason’s (1990) Swiss Cheese
Model37
As a cultural shift from blaming the person directly
involved in the incident, the course reviews the Swiss
cheese model, considers the underlying system
weaknesses at the individual, job and workplace and
organisational levels that may contribute to accidents.
This also takes into account the fact that frontline staff are often the last line of defence that can prevent a bad
situation getting worse; in this way, competence plays an important role.
Further information on the Human Factors Awareness course for Incident Investigators is available on the
Human Factors section of the RSSB website (www.rssb.co.uk).
4.2.2.2 Development plans
Where competence is established as a cause of substandard performance, a development programme may be
appropriate, followed by reassessment and a period of revised monitoring. Below are some points to consider:
• Development programmes should be used where the normal requirements of a competence management system
are judged insufficient to restore performance or insufficient to restore performance within acceptable timescales.
• In some circumstances an individual who is not performing satisfactorily may need to be temporarily removed from
their work.
• A development programme enables the individual concerned to regain the ability/willingness to perform the task or
activity to the required standard, and gives confidence to the company that this has occurred.
• It will have clearly defined aims and objectives, which specifically address the competencies that need to be
developed, with appropriately detailed description of the programme and defined success criteria.
• It will take into consideration the employment history and learning styles of the individual concerned.
• The programme should be designed for as long as is judged appropriate given the nature of the identified
performance problem. Short development programmes of less than one year are generally preferable to
longer ones. Consideration needs to be given to a style of plan which allows the learner or candidate to meet
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the objectives earlier, demonstrate commitment to improved performance and through demonstrating reliable
performance to have the opportunity to be removed from the plan as soon as possible. Development programmes
should not be designed to exceed three years in duration except in the most exceptional circumstances.
• The individual concerned should be given the opportunity to be involved in the creation and review of their
development programme. If they are not enrolled in the process and agree to the final plan, it is unlikely that any
development activities will lead to the success criteria being met.
• The development programme should be reviewed frequently, or as the need arises.
4.2.2.3 Reviews of development programmes
Scheduled and unscheduled reviews of development programmes consider the following:
• Whether the development programme is still appropriate.
• How the development programme could be amended or withdrawn if the programme is no longer appropriate
because of the performance exhibited by the individual concerned.
Where a development programme has failed to deal with the relevant performance problem, or where it has been
decided that a person is not suitable for a development programme, then that person should be regarded as no longer
being suitable for carrying out the activity and redeployment or termination of employment should be considered.
4.2.2.4 Learning wider lessons
If it is suspected that a performance problem is likely to be widespread (possibly affecting all or a large proportion of
the workforce) then consideration should be given as to how the performance problem should be addressed with all
the affected staff.
In the case of performance problems that are the product of a competence deficiency it may be possible to fill them
by simply re-briefing the affected staff. However, there may be occasions when a more complex approach is justified,
such as:
• Review of existing training requirements to ensure sufficient emphasis is placed on the issue(s) concerned.
• Review of the training options to ensure the way in which training is facilitated is appropriate to its target audience.
• Review of existing training courses to ensure trainees are given adequate opportunity to gain the required
knowledge and that there is sufficient opportunity to apply this newly acquired knowledge prior to being assessed.
• Review existing assessment criteria to check that the skills and knowledge requirements essential to the task or
activity being assessed are covered in sufficient depth to enable a decision to be made in relation to an individual’s
performance.
• Review existing monitoring arrangements to check that each performance criterion is assessed using the most
efficient method(s) and so that the frequency of assessments is sufficient to demonstrate that the required
standards are being maintained.
Where it is suspected that a performance problem is the product of cultural issues, whether at a particular location
or throughout the company, rather than lack of competency, these cultural issues need to be identified and dealt with
appropriately.
RSSB has developed a web-based Safety Culture Toolkit56, 57, 58 that allows rail companies to measure their own
safety culture, and determine the actions that they could take to tackle the issues that have been identified,
without the need for extensive external support. The Toolkit also facilitates the accumulation of data in one place,
thus making it easier to establish a single industry view and benchmark individual companies’ cultures.
www.rgsonline.co.uk
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Case study: ‘Coaching for Success’ at Northern Rail – approach to
using coaching for competence development for line managers
Northern Rail had been offering coaching skills as part of their leadership development suite of courses for
a few years as such skills are widely recognised as being at the heart of effective people management and
development; however without an understanding of the context in which such skills could be used, take up
for the course was low. Therefore, a different approach was taken and in-house research was conducted,
researching best practice with the Chartered Institute of Personnel and Development (CIPD) and other Train
Operating Companies (TOCs) and using focus groups with management to look at how coaching could be
embedded within the leadership style of Northern managers.
The research confirmed that coaching underpins a range of activities conducted by managers and leaders, such
as safety assessment, accident investigation and HR policy as well as general line management of individuals.
Coaching was also seen as an opportunity to provide a sense of empowerment and ownership to the manager
that in turn can be transferred to their team members. The use of coaching as a leadership style would enable
managers to engage staff in dialogue about their thought processes, ideas and feelings, which in turn could
improve operational efficiency by identifying fundamental problems with business processes and establish
individual skill, competence and confidence levels.
Coaching has been used by some organisations as a corrective tool when things have gone wrong. But it
is an approach for helping others explore their goals and ambitions, and then achieve them. In addition to
encouraging individuals to explore their competence, performance and behaviour in the workplace, it has also
been used at Northern for career development discussions between line managers and their team members.
These conversations help to reveal people’s capacity to develop new skills, and take on increased responsibility
as well as encouraging people to try new ways to do essential tasks and processes.
Highlighting the breadth of applications that coaching could offer business meant that the executive board
understood the benefits that such a coaching course could have, and created buy-in from senior people within
the business who eventually acted as champions for the training. Rather than being seen as a HR initiative,
there was support from across the business divisions which meant that roll out of the programme was supported
as well.
The Coaching for Success course at Northern is a two-day course, with a mixture of theoretical and practical
exercises, providing managers with the coaching confidence and tools to apply within their roles and with their
teams – be it non-technical skills NTS, performance, behaviours, career, assessments, development etc. This
includes areas such as active listening, problem solving, questioning skills, etc. It is primarily for line manager’s
use as they will be using these skills in their discussions with individual team members. It is a mandatory
course to enable Northern to evolve the leadership style to match the workplace of today, ie where people are
encouraged to think for themselves to gain a sense of ownership and achievement.
The coaching course incorporates two important models: (1) the GROW (an acronym standing for Goal –Reality
– Options – Will) model is a simple yet powerful framework for structuring a coaching conversation; (2) John
Heron’s 6 Categories of intervention is a framework that provides a model for analysing how coaches deliver
coaching using six different styles when interacting with employees or team members. The model helps coaches
learn and use the range of styles, and therefore improve their impact and the outcome of the coaching they
provide.
Initial feedback from those attending the courses is positive; it has enabled a number of managers to help
individuals move towards a more positive mind-set without confrontation, and allowed conversations to move
from deliberation of issues to solution and action. Heads of Departments and Directors within the company
have reported hearing different ‘types’ of conversations being had and more constructive conversations in
performance meetings which involve career development and emphasis have started to shift the culture from
talking about what was right and wrong from a technical/practical perspective to more behavioural conversation.
Initially the research was undertaken in the West region of the business with the aim of evaluating, improving
and then using coaching across the business in future. Northern are in the process of running the ‘Coaching
for Success’ course in the East region but before it can be implemented the course will be tailored and pitched
for this area’s specific requirements. Although the course is currently being used by operational line managers,
it is transferable to other areas of the business as well. The overarching aim at Northern is for coaching
conversations to become a more natural way of communicating and working with each other.
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Key learning points from section 4.2
• Line managers play a crucial role in providing competence development opportunities for their staff and are
vital in supporting the ongoing development of their staff’s non-technical skills (NTS).
• As part of the T869 non-technical skills project, trainers, managers and frontline staff involved in the
development of the training materials created a list of skills needed by managers to support development of
NTS.
• Identifying and managing substandard performance involves recognising when competence is or is not the
issue, understanding that error does not necessarily equal incompetence, using development plans and
reviewing them, and learning wider lessons from problems that affect many staff – see RSSB’s Safety Culture
Toolkit at http://safetyculturetoolkit.rssb.co.uk/home.aspx.
• Northern Rail has successfully utilised coaching as an approach for helping others explore their goals and
ambitions, and then achieving them. In addition to encouraging individuals to explore their competence,
performance and behaviour in the workplace, coaching has also been used for career development
discussions between line managers and their team members.
www.rgsonline.co.uk
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4.3 Further considerations for train drivers
4.3.1 Driver training courses
The overall structure of driver training courses has already been covered in section 3.1 ‘Learning: Methods and
structure’. This structure has not changed since the 1970s. Until relatively recently, it was shaped by mandated
standards, but with the withdrawal of these companies have begun to take a progressive view on the future of driver
training. In addition to challenging the overall structure of training programmes (all theory must come before on-the-job
practical training), several other ‘standard’ features have been challenged.
Previous assumption
Emerging position
The Rule Book should be used as a training manual –
hence the prominence of discrete ‘Rules’ courses at the
start of driver training programmes.
Rules are part of underpinning knowledge, and as such should
be incorporated into learning technical tasks as part of a truly
blended approach.
It is not safe to allow a trainee driver to drive a train until
all theoretical rules and traction knowledge has been
learned and assessed.
Provided basic safety principles have been learned (what to
do if the instructor falls ill, immediate actions in an emergency,
including communications etc), the trainee is familiar with the
cab environment and controls and the training staff providing
instruction are competent, there is no difference between a
trainee driver driving a train for the first time on day one or
after an extensive period of theoretical training. In fact, learning
on-the-job improves transfer of underpinning theoretical
knowledge.
Drivers must complete a mandatory minimum amount
of hours driving in certain conditions. For example, a
minimum of 225 hours.
As discussed in section 1.1 ‘What is competence?’, time has
been traditionally used to assure competence. If a richer
competence profile is developed, with continual formative
assessment of a learner’s competence development, time is
incidental. Trainees can be assessed when they are ready to
be assessed, according to the expert judgement of training staff
and backed up by a comprehensive competence development
record.
Even if time continues to be used, it is not necessary for every
company to adhere to a national ‘standard’, as the criteria for
competence assurance will vary from company to company,
or even within companies, depending on different types of
operation/routes etc.
Figure 47: Challenging assumptions - driver training courses
Driver training: R&D project T718
The T718 Review of GB driver training and development of leading practice models for the industry project14 has
been mentioned several times within this guide. Those involved in the competence development of drivers may
wish to examine the individual reports from the project in more detail.
The project was carried out in three phases:
Phase 1 – Establishment of the current state
This consisted of two main work streams:
• ‘Locomotion No.1 to simulation, a brief history of driver training’ documents train driver training from the early
nineteenth century to today.
• A survey (through interview and questionnaire) of 11 HR/Operations Directors, 23 Heads of Training, 52
Driver Trainers, 333 Driver Instructors and 40 Newly-Qualified Drivers, to establish current perceptions and
characteristics of driver training.
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Phase 2 – Leading Practice Research
• Technical Report - this study involved a technical literature review in the area of leading practice in training.
The aim of this paper was to review the recent literature on training methods and approaches to training that
can be used in relation to driver training.
• Adult Learning and Innovation Report - looks at how leading practice identified in literature and other
industries can be taken forward by the rail industry to enhance driver training, in a way that is operationally
viable.
• Cross Industry Leading Practice Report - documents the findings of an interview survey which involved the
participation of training experts from a range of industries who were identified by industry representatives as
having a ‘good reputation’.
The conclusions and recommendations for Phases 1 and 2 can be found in a summary report.
Phase 3 – Risk-based training needs analysis (RBTNA)
• RBTNA: Guide to the process and template – a user guide for those wishing to use RSSB’s RBTNA template.
• Phase 3 Summary Report – documents the development of the RBTNA methodology and template,
examining how it might be taken forward.
4.3.2 European Train Driver Licensing Directive (ETDLD)
The ETDLD is part of the European Union’s strategy to improve the efficiency and competitiveness of Europe’s
railways. The objectives of the directive are:
• To create a more flexible labour market
• To introduce common standards of competence
• To facilitate operation of cross-border rail services
• To increase public confidence in the rail system
The expected outcomes of the Directive are EU-wide minimum requirements for physical fitness, psychological fitness
and general driving competence. The latter is obviously of relevance to this guidance.
These requirements will need to be fulfilled to obtain the two documents which will be needed for train drivers to
operate on main lines services – the train driver licence and a certificate. Although the three requirements apply to
the license, obtaining the certificate requires a lot more specific and detailed knowledge of the operation that you are
employed to drive, for example, rolling stock and route knowledge:
1. Train driver licence – issued by the national safety authority (the ORR) on the basis of evidence that the individual
has the necessary basic skills and fitness to drive a train. Licences will normally be valid for 10 years.
2. A certificate – issued by the train driver’s employer, which confirms that the individual has the necessary specific
skills, knowledge and abilities to drive the services they are employed to operate. As certificates will generally be
valid while in employment as a train driver, an individual may hold more than one certificate if they are employed
by more than one company. Certificates can be re-activated/reissued (if, for example, the driver was out of
employment for an extended period of time) within 12 months if the employer is satisfied that the driver is still
competent.
4.3.2.1 ETDLD competence development requirements
The Directive has been transposed into the Train Driving Licenses and Certificates Regulations 2010, which covers
England, Scotland and Wales (but not Northern Ireland). Schedules 3 to 7 and explanatory note are relevant to the
competence development of train drivers and are available online at the Legislation website59.
At first glance, these requirements may seem to take driver training back to the days of mandated standards, where
unnecessary training was mandated for specific elements that may not be relevant to some companies’ operational
requirements. However, the requirements are actually quite generic and therefore, companies do have the opportunity
to tailor competence development to their own needs and utilise good practice.
www.rgsonline.co.uk
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4.3.2.2Implementation
ORR already checks the training processes that are in place as part of a company’s safety management system
under the ROGS 2006. The proposed approach to issuing licences will be for ORR to check that train operators have
developed a recognised, sensible and robust approach to training as part of their safety management system. They
will not set pass/fail criteria but will assume that railway undertakings and infrastructure managers are best placed to
make the judgement about whether an applicant driver has developed sufficient competence.
Any new driver would be assessed as part of their normal driver training. Existing drivers will normally be considered
to have met the requirements for the rolling stock and routes they are experienced at operating.
The requirement to hold a licence and certificate to drive a train comes into effect in three phases:
• New cross-border drivers needed licences and certificates from October 2011 (this was the first implementation
date).
• New domestic drivers and new cross border drivers who have not completed the relevant training and gained
experience of driving cross border trains from October 2013.
• Existing drivers from October 2018.
These are the latest dates for compliance allowed by the train driving licensing directive. See the Legislation website59
above or the ORR website60 for further information.
4.3.3 Practical handling and route learning
The ETDLD suggests that the preferred method for gaining route knowledge is to accompany another train driver
(see Schedule 7 Training method (4) of the regulations on the Legislation website61). However, it is equally possible to
combine route learning within practical handling elements of driver training.
In line with the graded learning concept explored in section 3.1.4 ‘Structure of training programmes’, learners should
start with simpler routes and develop route risk analysis techniques as their other competencies develop.
This should be part of a more structured approach to practical handling training, with clear aims and objectives for
development of practical handling skills in certain conditions.
More detailed requirements for route learning can be gleaned from RIS-3702-TOM: Rail Industry Standard for
Management of Route Knowledge for Drivers, Train Managers, Guards and Driver Managers62.
4.3.4 Eco driving
Eco driving has evolved as part of train drivers’ practical handling skills in recent years. It not only affects the
environment, but wider business risks and objectives. While these are important, eco driving should never divert
attention from driving the train safely.
Eco driving: R&D project T839
The final report for RSSB R&D project T839 Eco driving: Understanding the approaches, benefits and risks63
aims to convey the rail industry’s collective understanding of the approaches, benefits and risks presented by
efficient driving as well as case studies from individual operators.
• The cross-industry Operations Focus Group (OFG) recommends that TOCs and Freight Operating
Companies (FOCs) adopt relevant examples of good practice identified in the research. In doing so it also
reminds operators to continue to emphasise the prioritisation of safety over performance and performance
over eco driving.
• Importantly, for this guidance, it also recommends continued efforts to raise awareness of the potential for
distraction while eco driving during driver training.
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Case study: ScotRail’s approach to training drivers in a new
concept of eco driving techniques
Although rail remains among the lowest carbon-emitting means of transporting people or goods, this can be
enhanced through improved energy management and driving techniques. Government targets are aiming to
reduce carbon emissions significantly with specific targets set for 2020 and 2050.
ScotRail are carrying out several initiatives to reach these targets, one of which is eco driving or energy efficient
driving. From the company’s perspective, this may enhance the safety of driving, whilst being the driver’s way of
contributing to Scotland’s Railway emission targets.
Eco driving is the name given to a range of train driving techniques intended to reduce economic and
environmental costs and involves optimising the acceleration and deceleration of a train to minimise fuel and
energy consumption whilst ensuring safe and punctual arrival and departure times.
Eco driving is being developed as part of a driver’s competence assessment and training is being introduced
to driving instructors so that the eco driving techniques can be covered not just by the simulation training and
briefings but also from the frontline.
The benefits from ScotRail’s perspective are that:
• Eco driving is a less stressful way of driving, involving more coasting and less braking.
• The chances of approaching red aspects could be reduced.
• Reducing speed and coasting as far as possible could reduce the chance of exceeding the speed limit.
• Drivers will be spending less time sitting at stations, meaning fewer distractions.
•Coasting will keep drivers focused on the next station stop.
•Significant contribution to the improvement of the environment.
•Improved profitability and therefore, increasing the sustainability of the business.
The focus on the driving task and how it relates to
broader company and industry sustainability goals
means that is increasingly treated as part of professional
driving. Also, eco driving can be implemented alongside
driver advisory system (an on-board system that works
on global positioning satellite (GPS) technology and
informs drivers of optimum driving techniques).
Following some trial tests with the simulators all ScotRail
drivers are trained in eco driving techniques, including
coasting where it can be carried out without impacting
safety or timetabling. Coasting boards have been
installed to identify the points where drivers can shut
off power. Trials across various routes in Scotland have
been carried out to develop specific route information for
eco driving.
Briefing drivers
Figure 48: Example of a leaflet provided to driver
during briefings
www.rgsonline.co.uk
The leaflets (figure 48) are provided in regular drivers
briefings. These driver briefings allow drivers to
understand how eco driving can benefit not only the
company and the environment but also train driving.
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The briefings include video demonstrations of
acceleration and coasting techniques, results from trials,
and descriptions of the best techniques to be used for
each type of electric or diesel unit. The briefings are
also used as an opportunity to encourage other eco
techniques eg switching off lights when not required and
shutting down engines to avoid engine idling (weather
permitting). Leaflets about when coasting can be
applied on specific routes and additional information for
particular classes of trains is also provided.
As part of the eco driving training that drivers receive,
simulation is used to train drivers in the principles of eco
driving. Most simulator visits allows drivers to run their
type of unit – electric or diesel – on the simulator as part
of an eco-run.
Figure 49: Example - arrive at Stirling station
on time when combining route knowledge with
coasting at a reduced speed
As an incentive to apply eco driving techniques to their
route, a trophy is presented annually to the best ecodriver of each unit type.
Importantly, priority is always placed on safety first, then punctuality, before eco driving. For further information
on the understanding of different approaches, benefits and risks presented by efficient driving, as well as case
studies from individual operators, please see the RSSB T839 Eco driving: understanding the approaches,
benefits and risks project.
Key learning points from section 4.3
• With the withdrawal of mandated standards, companies have begun to take a progressive view on the future
of driver training.
• The T718 Review of GB driver training and development of leading practice models for the industry project is
a useful report for competence development of drivers – to view the individual reports from the project please
see the RSSB website www.rssb.co.uk.
• The expected outcomes of the European Train Driver Licensing Directive (ETDLD) are EU-wide minimum
requirements for physical fitness, psychological fitness and general driving competence. The ETDLD is part
of the European Union’s strategy to improve the efficiency and competitiveness of Europe’s railways. Further
information can be found at Legislation website59.
• Eco driving (project T839) has evolved as part of train drivers’ practical handling skills in recent years. It not
only affects the environment, but wider business risks and objectives. Whilst these are important, it is crucial,
as highlighted in the ScotRail case study, that attention is never diverted from the safety aspect of driving.
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5.Evaluation of training
and competence
management activities
Uncontrolled When Printed
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Evaluation of training and competence management activities
‘In understanding the return on investment from training it is important to begin with the end in mind. From the
beginning it must be clear that the training is designed to deliver specific skills and knowledge to people the
gaining of which will impact positively on specific, measurable business KPIs’ - from the Good Practice Toolkit
that accompanies the T762 Training as an investment project64.
The quotation above highlights that training programmes, as part of overall competence management systems,
should be continually reviewed to ensure that aims and objectives are being met.
This section looks at the critical role of training evaluation in enabling your organisation to develop effective
organisational performance.
Section 5.1: covers models of training evaluation
Section 5.2: covers continual evaluation
This Good Practice Guide ends with a case study that highlights many of the points raised in the guide,
describing how a company overhauled their training and competence development activities (covering all 5
phases of the RSP1 CMS cycle).
5.1 Models of training evaluation
There are frameworks and models available which facilitate evaluation of learning, such as
Donald Kirkpatrick’s Four Levels of Evaluation (1994)65.
Training as an investment: R&D project T762
The T762 Training as an Investment64 project uses an extended version of Kirkpatrick as the basis for its Value
for Money model, as described in the Good Practice Toolkit66 published as part of the project. Kirkpatrick’s work
differentiated between four levels of training evaluation, that is:
• Reaction – learner satisfaction with the training programme.
• Learning – the facts and knowledge gained by the learner.
• Behaviour – whether the learner change the way s/he does their job as a result of the training.
• Effectiveness – impact on business performance.
Research undertaken for T762 suggests that the first three levels are generally routinely measured within the
industry, but that the last has proved harder to evaluate (see figure 50 on the next page). In recent years, as
the research base has grown, Kirkpatrick’s original framework has been developed further by a number of
experts including Phillips (2007)67 and Kearns (2005)68 to reflect two additional levels which are essential to the
understanding of the actual value of training to an organisation, namely:
• Baseline measurements and agreements (the first step).
• Return on investment in training (the final step).
The T762 Value for Money model can therefore be used to evaluate any changes to skills and behaviours (rather
than just specific learning events), by examining factors linked to Key Performance Indicators (KPIs), such as:
a) The specific KPIs to be improved.
b) Changes to skills (both technical and non-technical – and hence behaviours) required to deliver the change in
the KPIs.
c) Measurement of effectiveness of intervention in changing skills levels/behaviours.
d) Investment in the intervention (ie the cost).
e) Changes in the KPIs that required improvement.
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f) Netting off of factors influencing the KPI change that are not related to the interventions to change skills
levels/behaviours.
g) Conversion of those changes into monetary benefits.
Training
Planning
inputs
Training
Delivery
activities
Training
Evaluation
outputs
outcomes
Performance Sub-Indicators
Baseline and Business
Objectives
Business Improvement
Figure 50: The T762 generic return on investment model
Case study: Southern Railway – a summary of training
evaluation and links to Return on Investment (from RSSB T762
Training as an Investment )
Southern Railway is in the early stages of refining its current approach to driver training and on-going
competence development activities, to enhance learning opportunities and tackle perceived inefficiencies with
current arrangements (as identified by managers, trainers, and trainees themselves). This will focus on both new
and existing drivers and will be designed to impact on areas such as competence and employee engagement.
Southern is using the ROI training toolkit methodology to produce a business case for the investment required
for the revised approach. It was agreed that a structured methodology that demonstrated the return on
investment would aid internal investment decision making.
In order to support the development of the new framework, Southern has established a Driver Training Steering
Group, encompassing representatives from Training (HR), Operational Safety and Standards, and Trains
(management and drivers) to progress the initiative through development and implementation. To understand
and define the effectiveness of current driver training, the Steering Group undertook SWOT (Strengths,
Weaknesses, Opportunities and Threats) and PESTLE (Political, Economical, Social, Technological, Legal
and Environmental) analyses of current driver training and the prevailing culture of the driver population. They
identified that driver training could be delivered more effectively and efficiently, raising learner engagement
and performance levels and aiding the business objectives of reducing driver related operational incidents and
improving the efficiency of the training. Using the guidance RSSB: Training as an Investment Good Practice Toolkit - improving and measuring training
effectiveness (March 2011), the Steering Group identified those corporate key performance indicators (KPIs)
on which the new training could be expected to impact. These KPIs provide the current business performance
baseline and enable improvement from the training to be quantified financially. The level of knowledge and
comprehension of corporate KPIs varied across the members of the Steering Group. This reaffirms the value
of using members from various parts of the organisation in order to maximise the results and in particular,
members from the organisations’ commercial team, who tend to have a more comprehensive overview of
corporate KPIs. By reviewing the KPIs in detail, Southern refined the KPIs for inclusion within the business case
and discussed how best to obtain the baseline KPI information and how to convert KPIs into financial values.
The project will see the development of a new framework for driver training and competence management,
built on a comprehensive RBTNA (based on the RSSB Risk-based training needs analysis – see section 2.1.2).
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Evaluation of training and competence management activities
The key objective of the new framework is to ensure that learners take more ownership of their own learning,
supported appropriately by line management, training professionals and other relevant departments, so that the
programme delivers the most effective, efficient learning experience.
The effectiveness of the new driver programme will be monitored in stages with an assessment for each stage.
The costs for the new driver training programme have been identified to inform the business case and include
factors such as training materials, training staff and training facilities.
The proposed ROI benefits of the new driver training programme have been calculated by quantifying the
financial effect of the projected improvement of the KPIs identified. Assumptions around the projected level of
improvement and financial values included within the quantification of costs and benefits have been agreed
with the Steering Group. These have helped to identify the overall financial case for the project, but also some
specific measures which can be monitored during and after the project to provide detailed evaluation.
Southern used the ROI calculation to demonstrate the potential for a positive ROI for the overall project, and the
calculation showed a good theoretical return to justify investment.
In summary, Southern’s experience with the toolkit has been largely positive. The project team would
recommend to other toolkit users to make sure that the ’right’ people are involved in the process (for example, a
cross section of skills and perspectives) and that they identify early on where the internal data sources lie. They
would also recommend ensuring that the level of detail used when presenting elements of a ROI calculation for
an investment decision is carefully considered, to match the needs of the audience.
Other models of training evaluation have also been developed, such as the Taxonomy of Training and Development
Outcomes (TOTADO) (Birdi, 2010)69. This model extends the focus of evaluation beyond the individual, taking into
account team, organisational and societal factors. Effectively, it seeks to bring together the best features of a number
of training evaluation approaches.
5.2 Continual evaluation
Although periodic evaluation of specific learning events can be undertaken, there are many other cues which may
prompt evaluation activities. For example, evaluation may be needed in response to feedback from:
• Operational line managers (especially when commenting on performance of newly qualified staff).
• Training staff (commenting on effectiveness of learning and assessment methods/media).
• Revision of performance requirements arising from accident and incident investigation recommendations.
• Revisions to Railway Group Standards and/or National Occupational Standards.
• Changes to company policy.
• Changes to job role responsibilities and/or equipment.
• Changes to a company’s risk profile (changes to route, infrastructure, introduction of new technology, franchise
etc).
Above all, a low rate of operational incidents or good performance should never lead to the assumption that
competence management activities do not need evaluation
(see ‘Continuous learning and how to promote it: ‘Dynamic’ learning’, section 2.2).
The case study on the next page highlights how a company – Irish Rail – completely overhauled their training and
competence development activities. It encompasses many of the points within this guide.
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Case study: Iarnród Éireann (Irish Rail) – overhaul of training and
competence development activities
Introduction
Iarnród Éireann (Irish Rail) is a subsidiary of Córas Iompair Éireann (Irish Transport Authority) and provides
passenger and freight rail services as well as operating Rosslare Europort. Iarnród Éireann (IÉ) operates
intercity, commuter and regional services and jointly operates the Dublin to Belfast Enterprise service with
Translink. I.É. is an integrated railway covering track, vehicle, maintenance, operations and facilities, operating
a range of traction units over 1,680km of track and 134 stations, with 621 passenger and 10-12 freight journeys
made per day. In total there are about 4,250 members of staff, of which 550 are drivers.
About eight years ago, IÉ was experiencing approximately 40 SPADs a year. The competence management
system and driver training and assessment process were reviewed with aims to improve the processes and
consequently hopefully reduce the number of SPADs. In addition, Training Centre personnel undertook research
to ascertain how the training process could be improved. This led to considerable investment in training,
particularly train driver simulators, computer-based training and SMART-board technology, with purpose built
facilities now at Inchicore (Dublin) and Mallow.
Changes in demographics & experience levels
Drivers at IÉ are recruited from within the industry; the company does not recruit externally. In the past, recruits
might have held two or three certificates as guards, signallers, shunters or persons in charge of platform duties
etc. Although drivers nowadays are generally still recruited from within the organisation, they tend to be younger,
less experienced and lacking basic railway knowledge. Experientially, there has been a shift from depth and
breadth to more shallow and narrow experience. All basic training programmes are delivered on the premise that
attendees do not possess prior knowledge. In addition, IÉ has been a parochial railway with strong traditions of
family working in the railways across generations. However, in the recent past, the perspective on the driver’s
job has changed; it is no longer seen as a job for life and this had led (at least during the period of economic
boom) to a high staff turnover.
Old system
With approximately four per cent of overall business costsi going towards operator training, there was a need
for the investment to be value adding. The biennial refresher training process for drivers was a mixture of
presentations, videos, discussions and an open forum for questions that took place at a range of locations
(under the auspices of the Training Centre) over four days and was conducted in a lecture style to cover
rules and procedures. Due to the delivery methodology, traineesii were only able to absorb information rather
than have an opportunity to practice. The training was mainly carried out to comply with the competence
management system (CMS). Feedback on the training was generally quite negative and, unsurprisingly, had low
engagement.
New System
There was a change in the overall training and briefing process. The two-year cycle now comprises of two days
at the Training Centre which is split between the classroom and simulator (to allow time for practical application);
eight months later there is a one day safety briefing and update day (SBUD) which is led by the District Traction
Executives (DTEs) and covers company and local issues. Eight months into the two yearly cycle, this is followed
by another with the second SBUD. The two-year cycle recommences a further eight months later. This structural
change coincided with the implementation of the enhanced delivery methods.
i
This ratio is broadly in line with the analysis of training costs in Ireland which was conducted by Monaghan (2006)70.
ii
In the context of this section, the term ‘trainee’ is used to denote any recipient of either basic or refresher training.
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Evaluation of training and competence management activities
All materials (contained within safety notices and
handbooks, Rule Book, general appendix, operating
incidents and organisational initiatives) in respect of the
driving role were brought together and reviewed. The
content of the simulator sessions was added to the content
of the SBUDs and the result was compared with the content
of the old refresher process. A gap analysis was used to see
if additional material was covered in the old training process
and not in the new one, if the topic needed to be covered or
if it was already covered in basic driver training and was not
required in refresher training.
The classroom element of the new process enables
drivers to refresh and apply their knowledge concomitantly,
particularly in respect of those rules and procedures that are applied infrequently. It combines interactive
presentations with simulation and computer-based technology (CBT) and utilises adult learning principles.
Delivery includes peer reviews which are seen as a highly acceptable form of feedback with a strong motivating
factor to perform well, whilst also creating a more relaxed training environment.
Figure 51: Training Centre at Inchicore, Dublin*
Non-jeopardy performance development opportunities are provided to drivers. In the forgiving virtual world of
simulator training, error is expected and the emphasis is on performance development rather than on a rigid
assessment process. The key output objective of the process is that operators are afforded every opportunity
throughout the training experience to reach the required standard. The provision of instructor coaching and peer
review is seen as instrumental in this. Irish Rail report that it was important to the company to apply the principle
of ‘what is learned quickly is also forgotten quickly’ to the training model.
Simulation
Drivers are based throughout Ireland and hold licences for specific types of units and routes. The challenge
was to model fundamentally-different traction units whilst making the technology cost-efficient with good levels
of utility and fidelity. In addition, it was important to model sufficient routes which the drivers were familiar with.
As a result of the investment, IÉ acquired eight simulators that were able to emulate specific traction units and
split between two locations according to the predominant types of traction and work carried out by drivers based
at/near either area. The simulators mimic the driving context and are made flexible to the requirements of the
different types of units that run over IE’s infrastructure through the use of interchangeable panels. The simulators
auto-configure after a panel change. An emulator at Mallow is also used for fault-finding for locomotives during
training assessment exercises.
The simulators cover more than 300km of track using computer-generated imagery CGI. The location and types
of infrastructural elements, and contiguous scenery are modelled accurately; the peripheral scenery is not. It is
sufficiently accurate for the drivers to know where they are on the route. Data capture initially took place using
scheme plans, control tables, videos taken from the nose level of the train, photographs, along with precise GPS
data. 30 fault-finding exercises have been modelled per
unit and interspersed throughout the train. Each simulator
is housed in its own room, allowing for a few people to be in
the room at the same time, thus creating a sense of space
and mitigating against motion-sickness. The simulators
also include accurate models of the AEG 90 type trainborne radio to emphasise the role of safety communications
in train driving. Access to signal post telephones is also
provided in the event of radio ‘failure’.
Figure 52: Simulator room*
Page 96
Due to the diversity of the fleet operated by IÉ, it was
necessary to make a few design compromises. These were
made on the basis of the sizes of the modelled fleets; the
models of the preponderant classes were compromised very
Good Practice Guide on Competence Development
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slightly. In addition, there was much research and debate about the merits of motion-based simulators but these
were excluded from the project scope on the basis of the associated drawbacks and value proposition.
The process involves classroom style refresher training on rules which the trainees then apply in the simulators.
The Scenario Preparation Station is used to craft the scenarios. Although the scenarios are created based
on defined learning objectives and training requirements that are established at the outset, the scenarios can
be tailored to meet specific learning requirements of individuals or groups. The instructor role plays multiple
actors (conductor, pilotman, signaller etc) depending on the learning objective and they are able to control what
happens to the train, the communications equipment, the weather, obstacles on the track etc as required, whilst
the trainee is carrying out the task in the simulator.
There is usually a minimum of two, and usually four, drivers taking part in the training. Whilst one trainee is
using the simulator, the other drivers are carrying out a peer review of the operant trainee’s performance,
which can be seen in the classroom via a repeat panel and video link. They subsequently provide the operant
trainee with feedback on their performance. Using the RSSB non-technical skills (NTS) framework as a basis,
IÉ has included elements of NTS within the peer review and feedback by drawing on the behavioural indicators
contained within the framework. The behavioural indicators are described to the trainees so that they understand
what to look out for when another trainee is using the simulator. The indicators are then used for feeding
back peer review comments within the training session. Trainers use the comments to help build the trainee’s
awareness of their NTS and provide further opportunities for the trainee to develop their skills in other scenarios
throughout the training. This creates a relaxed yet serious learning environment; it is perceived as serious
gaming. The time of non-operant trainees is used productively; group learning optimises the learning outcome.
Figure 53: Screenshot 1 from the CGI training*
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Figure 54: Screenshot 2 from the CGI training*
Computer-based training (CBT)
CBT has been incorporated within the refresher programme. CBT has changed the dynamics of the
presentational format of training covering mostly the same content but using flash animations, videos,
photographs, interactive artefacts and a limited amount of text as delivery media. SMART board technology
allows participants to interact openly with the training content and to answer a series of multiple-choice (MCQs)
or sequence-based questions. Answering questions in a facilitated open forum provides opportunity to dispel
incorrect mental models and assumptions that may be held within the group. The purpose of including the MCQs
is to heighten the trainees’ awareness of their lack of understanding; not to form part of the overall assessment
process.
CBT sessions are instructor led and, therefore, the instructor requires knowledge about the role. They are run
in an interactive manner and modules are role specific. All the trainees need to know about the role is in part 1
of the module and each module is formed of many chapters that covers different circumstances, general and
specific risks and hazards, procedures, setting up and general information, etc.
The current CBT suite covers several roles: nominated person, person in charge of station and platform duties,
points operator (an operator who is called upon to set routes manually when the signaller cannot do so due
to system degradation), pilotman (for single line working and for the working of a single line by pilotman), and
shunting. Data capture is currently underway for three other roles: gate keeper, level crossing control centre
operator, and emergency operator (operates crossings during degraded conditions).
The delivery format of the topics has developed and improved through experience. Newer modules have
a scoring system with multiple choice questions. This creates another element of dynamic learning in the
classroom and trainees can engage in way that is competitive and is incentivised – the trainee’s aim to have the
highest points in the group. The focus of the CBT training is primarily for non-driving roles although drivers can
also be included as part of joint training sessions, especially as the non-driving roles all interact with drivers in
some way.
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The intention of using CBT is to supplement and complement existing training methods for these non-driving
roles; some of these roles are only put into operation during times of system degradation. There was also a
need to cover job roles which have few holders. Even though there are fewer shunters employed than there
was previously at IÉ, the work is still important and therefore training is required; the development cost is borne
across a small number of role holders. The development process has explicated some implicit information; the
information is captured for posterity and corporate knowledge is enhanced.
Refresher training as a learning opportunity
The training process is trainee-centred and is focussed
primarily on the drivers’ developmental needs, rather than
being assessment-focussed. If mistakes are made by
drivers during a simulator session, the trainer addresses
the areas of improvement using a facilitative approach
and helps them to recognise and correct the underlying
issues so that they can carry out the procedure/task to the
standard required. The ethos is ’failing here is fine so that
you can learn from it because you will not do that when you
are on the job’.
Figure 55: Interchangeable panels*
Trainers’ development
The development needs of trainers are also being addressed; all trainers have relevant occupational
competence. However, developing training material and delivering training programmes requires a different skill
set. Trainers have attended a number of training courses and, a number of trainers have completed degree level
courses and others are currently undertaking a range of educational programmes. This development process is
ongoing.
There is now a greater involvement of DTEs in the overall competence assurance and management process
than before and there are more workplace assessments now than during the old process. The handover process
between the Training Centre and the operating core is more integrated. For example, when a driver completes
his basic training, the DTE is informed of any developmental issues that they need to look out for when
conducting on-the-job assessments. This feeds into the drivers overall on-going development.
A blended approach to training
It was important that the focus stayed on the goal of improving the effectiveness of the training process; the
benefits of technology based tools (TBT) were seen as instrumental to achieving this. In-house research had
revealed the particular strengths of each tool when used separately, eg visualisation, contextual training,
engagement etc, and the synergistic gains could be sought by using them in combination. Effective instructional
design is achieved by using approaches that are suitable for adults, such as drawing on prior knowledge and
combining different learning styles, different TBT elements and media. Altogether, this provides a blended
approach to training (see section 3.1 ‘Learning: Methods and structure’].
Evaluation of training
I.É. evaluated the refresher programme using Kirkpatrick’s 4 levels of evaluation model, with satisfying results.
Feedback from trainees has been overwhelmingly positive. The results show high user-acceptance, with almost
all stating that the equipment supported their learning.
A big question was about the utility and value that could be extracted from the simulators. It seems as though
practicing scenarios that involve emergency situations have helped in real driving situations indicating a possible
change in behaviour when faced with uncommon situations. There is some anecdotal evidence that recent
practice-based simulation training has facilitated competent performance in the real world, when recipients
have had to operate in degraded conditions. Feedback (level 3 evaluation) also suggests that a similar level
of learning occurs through observation of simulator scenarios, compared to actually driving the simulator. Peer
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Evaluation of training and competence management activities
review is readily accepted by drivers. Simulation has also provided a means to accelerate experience gain
through a process of ‘learning by doing and learning by failing in a safe and risk-free environment’.
Next steps
I.É. are looking to develop their application of the NTS model for the driver. Although only used during training
events, there is some thought to include NTS across the CMS.
With further investment in technology-based training, improvements to signaller training can be made and the
joint training needs of operational and engineering roles can be met. Continuing the development of trainers is
also important to the company, particularly in respect of the development of training scenarios that are rooted in
cognitive psychology principles and constructs.
Summary
Overall, the overhaul of training at IÉ has created change for the better, especially for the trainees. From a
business perspective, the investment had to be justified; the simulators, CBT and SMART board technology had
driven up the cost of training. However, the training process is more effective. There is value to be added by
investing in the technology especially when it is part of an overall strategy to improve training.
The continued improvement to IÉ’s SPAD record, from 40 SPADs a year to less than 5 in 2011 cannot be
attributed to a single initiative. It has been achieved through a combination of many initiatives, including
improved standards of selection and training, more effective competence management system and
improvements to safety briefings.
Key learning points from section 5
• Training programmes, as part of overall competence management systems, should be continually reviewed
to ensure that aims and objectives are being met.
• The models of training evaluation that can be used include Kirkpatrick’s Four levels of Evaluation used in the
T762 Training as an Investment project, and the TOTADO model. The Southern Railway case study from the
application of the T762 toolkit shows how return on investment (ROI) demonstrates the potential for a positive
ROI for the overall training and development project, and the calculation showed a good theoretical return to
justify investment.
• The case study of Irish Rail encompasses and highlights several points raised in this Good Practice Guide
and is a good example of how a company has overhauled their training and competence development
activities.
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Appendices
Uncontrolled When Printed
Document comes into force 02/03/2013
List of appendices
The appendices contain information that is not currently or readily available using the references or links already
provided in the document. It will especially useful for people involved in the design of training.
• Appendix A: Relation of RSP1 CMS Phases with GPG sections and case studies
• Appendix B: Example training session plan (courtesy of Hitachi Rail Europe Ltd.)
• Appendix C: Types of questions – ’Designing assessments’ (courtesy of Kineo)
• Appendix D: Types of questions – RSSB Human Factors Awareness course
• Appendix E: Guidance for Assessors – the assessor cycle
• Appendix F: Types of simulation
• Appendix G: Simulator procurement checklist and example tender
Page 106
Good Practice Guide on Competence Development
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Appendix A: Relation of RSP1 CMS Phases with GPG sections
and case studies
This GPG has been loosely organised around the RSP1 CMS cycle. Each section of this GPG fits
within the RSP1 CMS cycle as follows:
GPG section
RSP1 CMS phase (1 to 5)
1: Introduction and background
1.1 What is competence?
Phases 1 and 2
1.2 Understanding the current position and barriers we face
Phase 1
2: Getting the basics right
2.1 The evidence-based CMS
Phases 1 to 5
2.2 Creating and supporting learning
3: Planning learning interventions and effective competence reviews
3.1 Learning: methods and structure
Phases 2 and 3
3.2 Competence review and assessment
Phases 1 to 3
3.3 Use of simulation
Phases 3 and 4
4: Supporting effective CMS
4.1 Training staff
Phases 2 to 4
4.2 Competence development for and by line managers
Phases 1 to 5
4.3 Further considerations for train drivers
Phases 1 to 3
5: Evaluation of training and competence management activities
5.1 Models of training evaluation
Phase 5
5.2 Continual evaluation
Phase 5
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Appendices
Although each case study could have links to all phases of the RSP1 CMS model, the main phases
emphasised in the case studies within this GPG are shown in the table below:
Section
Mainly links to RSP1
CMS phase(s)
Case study
1.2
London Underground’s use of technology to develop, maintain and
document competence
2.2
British Airways – inspiring learners and developing competence from
beyond the railway industry
Phases 3, 4 and 5
3.1
Network Rail’s AzLM Axle Counter Training course – moving from a
predominantly theory/knowledge based approach to a truly blended
approach
Phases 1 to 5
3.1
Northern Rail – integration of non-technical skills (NTS, T869)
Phases 2 and 3
3.3
ScotRail’s simulator assessment – an approach to physiological and
psychological impact mitigation
Phases 2 and 3
3.3
Arriva Trains Wales’ approach to simulators as a learning tool
Phases 2 to 4
4.1
Delivering capability at Network Rail – moving beyond traditional
training roles and stereotypes: the Workforce Development Specialist
Phase 2 to 4
4.2
‘Coaching for Success’ at Northern Rail – approach to using coaching
for competence development for line managers
Phase 4
4.3
ScotRail’s approach to training drivers in a new concept of eco driving
techniques
Phases 2 to 4
5.1
Southern Railway – a summary of training evaluation and links to
Return on Investment (from RSSB T762 Training as an Investment)
Phases 1 to 5
5.2
Iarnród Éireann (Irish Rail) – overhaul of training and competence
development activities
Phases 1 to 5
Page 108
Phases 2 and 3
Good Practice Guide on Competence Development
Group –
min/max
Number of sessions in the
course e.g. (1 of 12)
Location of course
What the trainer will provide the staff during this session.
Number of Sessions
Venue
Aim of the Session
(what)
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Objectives (how)
Trainer Activities
Learner Activities
Assessment
Discussing, writing.
Ask the learners to split into pairs and list the 5
‘W’s (who, what, when, where, why) in relation to
the course subject. Then review with learners.
Initial assessment of existing
subject knowledge
0:20
(09:05)
Observation.
Observation.
Oral Questions.
Deliver initial subject material.
Company Name
Title of Training
Document
1:00
(10:25)
COURSE ADMIN
Explain to the learners the fundamentals of the
course system.
Listening, response and questions.
1 of 2
Ref #00000
Observation, oral
questions
Trainers Note: Specific note for the trainer regarding the next part of the session e.g. (focus the learners attention towards key learning points when they
arise)
Listening, discussion, agree ground
rules.
Suggest to learners, ground rules, including;
time keeping, behaviour etc...
Ground rules
0:05
(08:45)
Listening, response and questions.
Course intro
0:10
(08:40)
Explanation of the course Aim, individual
sessions and assessments. Ensure all staff has
handouts.
Trainers Note: Specific note for the trainer before they start the session e.g. (ensure laptop and projector are in working order before the learners arrive)
Timing
(Example session) Session 1 – Start at 08:30
Internal course code
Course Code
Course Title
Resources
Course
Duration
Courtesy of Hitachi
Rail Europe Ltd.
Length of the
course (Days)
Minimum and maximum staff allowed on the
Length of the
Duration
course e.g. (4 to 8)
session (h:m)
Resources required by the trainer to run the session e.g. (classroom, projector,
laptop, whiteboard, learner handouts, pens and paper)
Trainers Session Plan 0 of 0
Subject
Course
Title
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Appendix B: Competence Retention Decision
Support Tool (CR-DST)
Page 109
Page 110
Explain next session
N/A
Listening, response and questions
End session at 10:30 return after break at 10:45
Prepare resources for next session
Give a brief description of Session 2 aims and
objectives.
Trainers Session Plan 0 of 0
N/A
Oral Questions
Courtesy of Hitachi
Rail Europe Ltd.
Company Name
Title of Training
Document
COURSE ADMIN
2 of 2
Ref #00000
Area for trainer to make comments about the session as the course is being run. What worked well, what areas could be improved? This is for
continual course improvement.
Trainers Comments:
Break
0:05
(10:30)
Course
Title
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Appendices
Good Practice Guide on Competence Development
Uncontrolled When Printed
Document comes into force 02/03/2013
Appendix C: Types of questions – Kineo “Designing assessments”
From the Kineo website (www.kineo.com) by kind permission:
Type of question
Multiple-choice –
Single answer
When should you use it?
Can be used widely.
Useful when there is a clear right
answer but plausible wrong ones.
Can be used effectively in mini
simulations if the question branches
to a secondary question which poses
a ‘what would you do now?’ style
question.
You can often provide specific
feedback for each option selected –
allowing very tailored reinforcement of
learning.
Top tips
Make the alternative options
(sometimes called ‘distractors’) as
believable as possible.
If you know there are common
mistakes or traps that people fall into
on certain topics, make one of the
options relate to this and then the
feedback you give can be useful and
quite directive. You could send them
back to try again with a hint or a clue
– but reduce the score to reflect the
initial mistake.
Do not put in funny or silly alternatives
to make up the numbers. It’s irritating.
Ask yourself – would a sane person
consider this a viable option?
Avoid making the right answer the
longest – this is a common mistake
and easily spotted by learners.
Phrase questions as neutrally as
possible.
You can try and lead the learner into
wrong answers if the question is used
within the learning programme.
Alternate which answer is correct
in as random a fashion as possible.
Learners often like to think they can
guess which will be the right answer
this time.
Binary choice
(True/false, Yes/
No)
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Testing knowledge that is very clear
(no grey areas) eg legislation and
health safety issues.
You can add a ‘Not Sure’ option if you
want learners not to guess.
Since it is feasible that a whole set
of binary choice questions could by
pure chance lead to a 50% score,
you need to put pass marks high or
add a scoring system which strongly
penalises incorrect answers (and so
deters guessing).
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Appendices
Type of question
Multiple-choice –
Multiple answers
When should you use it?
Top tips
Ideal if there are number of correct
answers.
Be careful about doing too many ‘they
are all correct’ questions.
Useful for testing whether learners can
recall checklists or sets of information.
Keep learners guessing by including
varying numbers of correct answers.
Don’t always have one incorrect one,
for example.
Drag and Drop
Good for engagement as they involve
a bit more user activity.
Good for checking learners understand
the right order in which processes take
place.
Matching Lists
Fill in the blank
This is the least accessible of the
assessment questions as they cannot
provide enough information for a
screen reader for visually impaired
learners. If accessibility is important for
your target audience then avoid them.
Good for questions involving correct
sequencing or steps in a process, or
ordering priorities.
For an accessible version of this type
of question, you should be able to use
keyboard controls to select and drop
options.
Ideal to test understanding of
relationships among objects or terms.
Keep the lists short and manageable.
Good for definitions of technical terms,
for example.
You can possibly have one extra
option so the last choice is not always
obvious.
A traditional type of question that is
useful for precise syntax or language
identification.
Can be combined with a multiple
choice ie the blank is replaced by a
drop down menu with possible options.
Because it gives quite a lot of structure
and context, it is good for less
confident learners.
Be careful about anything that the
learner has to type in because there
is a high likelihood of typos. This will
mean you have to accept a number of
alternate correct answers or look for
key phrases or letters.
It can be complicated so not advised
for most rapid e-learning solutions.
Open input
A variation of the above approach.
This either assumes some degree
of key word checking (which is
complicated) or an assessor who
reviews what the learner has typed in.
Useful when you really want to know
what they know. Multiple choice
options are a simple register of
knowledge and can unrealistically cue
people’s memory when they see the
correct option amongst the possible
answers.
Page 112
This is not much different from a
standard exam model.
You will need standard marking
systems and model answers if you go
down this route.
Open Source LMS tools like Moodle
have quiz tools that will enable you to
capture short or long essay questions,
and tutors can then review and score
them – but you need to have resource
to do this.
Good Practice Guide on Competence Development
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Rating
Hot Spot or
Graphical
MCQ
This is useful if you want people to
reflect on what they think they know.
Use these questions to prepare for
subsequent learning events.
Combined with a set of multiple choice
questions, you can see if they are both
confident and knowledgeable, and
take a diagnostic approach.
You can see what people think they
know and what they are still unsure
of from these kinds of survey style
questions.
Visual and engaging.
Can prove to be complicated for those
who have visual disabilities, so be
careful if this is a target audience.
Very useful for IT training – click on
screen areas to open applications or
input into correct fields. This can be
combined with keyboard entry (see
below) for IT-based assessments.
Good for identifying objects, areas eg
spotting health and safety hazards in
a room.
Do not give away the correct areas by
having the cursor change over dead
areas.
If this cannot be avoided put in a
whole series of dummy areas which
give either hints or direct feedback for
a wrong choice.
Make the click areas large enough –
at least 20x20 pixels and make them
visually very distinctive.
Keyboard input
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Useful in IT simulations when you want
users to type in entries into fields.
Be careful that you are only testing
their ability to remember names or
personal details. So, try to provide any
data that you expect them to type in on
screen or easily accessible during the
assessment.
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Appendices
Appendix D: Types of questions – RSSB Human Factors
Awareness course
A guide to questions to use when interviewing: a page from the RSSB Human Factors
Awareness course for incident investigators workbook
Phase 4: Questioning
Reference section
Guide to question types
Type
Description
Closed
Invites a yes/no answer. Questions that limit discussion, for example,
starting with “do”, “is”, “are”.
Useful for checking understanding, probing single facts and clarifying
points. They usually close down discussion so aren’t useful for areas
not fully explored
Open
Open up dialogue and the subject you want to discuss. Tell, Explain,
Describe (TED): “Tell me…”, “Explain your thoughts on…”,
“Describe…”
Useful for most openings, gathering information, to direct thinking and
checking information. Not useful for exploring emotionally charged
areas
Probing
Questions that promote discussion, for example, starting with “who”,
“what”, “why”, “where”, “when”, “how”, “could”, & “would”.
Leading
Avoid leading questions, for example “I assume that this would
happen if…”
Encouragers
Questions/phrases to promote discussion, for example:
“That’s interesting, tell me more…”, “Can you expand on that”.
Use of silence
A considered use of silence provides a strong incentive to speak.
Open questions
Enc
The questioning funnel
illustrates the types of
questions to be used in
interviewing.
Clos
ed
oura
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Copyright RSSB 2012
11
Good Practice Guide on Competence Development
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Appendix E: Guidance for Assessors – the assessor cycle
E.1 Introduction to Appendix E
This appendix to the Good Practice Guide on Competence Development offers specific guidance for assessors:
a) The role of the assessor
b) The assessment process
c) Requirements for the Level 3 Award in Assessing Candidates’ Performance Using a Range of Methods [formerly
known as D32/A1]
As an assessor you need to know the job you are assessing and the standards your organisation has set. You also
need to develop your skills as an assessor through training and practise.
Your organisation may expect you to become qualified as an assessor. There are a few possible qualifications but
the one most frequently used is the Level 3 Award in Assessing Candidates’ Performance Using a Range of Methods
[formerly known as D32/A1].
Throughout this appendix, evidence you need to collect for this award will appear in boxes like this.
All the evidence must come from your normal work as an assessor.
E.2 What the assessor does
Your role is to assess evidence of a candidate’s competence against the standard set. In carrying out this role you will:
• Make sure your candidate understands the standard they need to meet and what they need to do.
• Find out if they need any additional support.
• Plan assessment and explain to your candidate how and when you will assess them.
• Carry out assessment using a variety of methods.
• Give your candidate feedback and advice.
• Record the assessment decisions and explain them to your candidate.
• Review progress at appropriate points.
• Make sure your records provide an audit trail so that it is clear to your verifier and others how you arrived at your
decisions and what the evidence was.
• Take part in quality assurance activities such as assessor meetings and standardisation.
• Maintain your technical and vocational competence in the work you assess.
E.3 Assessment planning – before you start
Make sure you thoroughly understand the standards you will use and your organisation’s assessment strategy so
that you know how your particular candidates will be assessed. It is common for rail companies to do a great deal of
assessment planning centrally so that they can be confident the assessment regime will be effective and consistent
in managing the competence of their employees. Any arrangements which are part of an approved competence
management system must be adhered to. You may have been assigned an experienced assessor as a mentor, or you
can ask your verifier to provide you with the information you need.
www.rgsonline.co.uk
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Appendices
Some of the things you should find out are:
• The different arrangements for assessing the competence of new entrants, monitoring and reviewing the
competence of experienced staff and for any persons needing special monitoring.
• Any pre-set tests or simulations to be used, whether they are to be administered centrally or locally, the part you
will play, and how they fit into the overall plan.
• How remote or unannounced monitoring is to be used.
• Any other mandated evidence requirements, such as observation of candidates at work.
• Any candidate responsibility for evidence, for example in maintaining a log of activities or writing reports of
incidents they deal with.
E.4 Beginning the assessment cycle
E.4.1 Briefing candidates
At the start of a new assessment process or cycle, you should meet with your candidate and make sure they
understand:
• The standards they will be assessed against.
• How and when they will be assessed, particularly if this will not be notified in advance, as in the use of remote
monitoring or information about incidents.
• Any evidence they are responsible for providing.
• How any sensitive or confidential issues will be dealt with.
• Additional support available if required.
• What to do if they are unhappy about the way they are assessed or the decision you make.
• How and when you will review progress with them.
E.4.2 Establishing the scope of assessment
For some groups of candidates there are differences in the scope of their job. This might be:
• Equipment used (eg different types of traction).
• Tasks performed (eg different engineering maintenance procedures).
• Work locations (eg different signalling centres).
• Context of work (eg green zone/red zone).
You will need to identify the exact scope of work to be assessed for your candidates.
You may have a document which records that this initial discussion has taken place. If so make sure both you and
your candidate sign and date it.
E.5 Planning specific assessment activities during
the assessment cycle
There will be specific assessment activities that you need to plan. This may be a single plan for each candidate
because the standard to be assessed covers one job function only (for example track safety and some signal
engineering licenses) or a series of plans where the standard covers a broader work role.
The way this works in practice will vary according to your organisation’s assessment strategy. You may be required to
carry out assessment at regular intervals and focus on a specific part of the competence standard on each occasion.
You may have freedom to draw up your own plans as long as you cover all areas of competence during the cycle. You
may be advised to make maximum use of the evidence arising naturally from your candidates’ work, review this at
regular intervals and then plan additional activities only to ‘fill the gaps’ before the end of the cycle.
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Both you and your candidate must be clear about what is to be assessed, how where, when and by who. The form that
assessment plans take varies between organisations and depends on the level of flexibility you have in decision about
assessment. At one extreme you might be presented with a pre-set procedure and the only decision to be made is
where and when to apply it.
A simple exchange of emails may form the plan, all other information already being known to your candidate. On the
other hand it may be necessary to draw up an individual plan in discussion with your candidate who can tell you what
evidence they already have available or can easily produce. In this case you are likely to draw up a written plan which
you both sign, reminding you what has been agreed.
Key principles in assessment planning
• Make sure you understand the standards to be assessed and your organisation’s requirements.
• Use existing and real work evidence where possible.
• Minimise the disruption to work.
• Make sure the arrangements are safe.
• Make sure the evidence will be valid and reliable.
• Make sure the assessment planned is fair to your candidate.
• Make sure other people involved are happy with the plan, especially witnesses.
E.6 Reviewing progress
It is important that you and your candidate know what has been achieved and what is still to be done at different
stages of the assessment cycle. These are some ideas of the form review might take:
• Checking the overall plan for the assessment cycle and marking off what has been done
• Noting on an individual plan that everything has been completed
• Amending individual plans:
◦ Rescheduling because planned activities could not take place
◦ Listing extra evidence needed
◦ Planning further evidence for unsuccessful candidates
• Noting unplanned evidence that has emerged, such as dealing with an emergency
• Building the review of competence assessment into the candidate’s general performance review and competence
profile
Develop plans for assessing competence with candidates
Mandatory evidence
• Three written plans:
◦ Each for at least one full unit of competence.
◦ Indicating methods to be used, how assessment will take place and the arrangements for review.
◦ At least four methods used overall including observation and questioning.
• One example which includes involving others (eg witnesses)
• Two written outcomes of progress review
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E.7 Collecting and evaluating evidence
The next stage is to collect the evidence in your plan.
The evidence you use must be valid, authentic and reliable. An explanation of what this means and full list of all the
different methods of assessment are given in the main body of the Good Practice Guide (see section 3.2). If you are
an inexperienced assessor you should get guidance from your mentor or verifier if you are not sure about the decision
to make.
If carrying out a practical assessment, it is usually best to remain unobtrusive throughout in order to maintain the
normal working environment and avoid risk of distraction.
The communication between you and the candidate should be limited to that which is required to ensure the
assessment can be conducted in a safe and efficient manner.
If the candidate requires clarification on any aspect of their performance, you should make a note and provide an
explanation during feedback unless an appropriate opportunity arises.
Where the candidate’s performance compromises safety of operations, you should be prepared to terminate the
assessment.
E.8 Coming to a decision
In coming to a decision you should evaluate all the evidence collected and make sure it fully covers the standard you
are assessing. It should comply with any requirements laid down by your organisation or any external body involved. If
the evidence is inconsistent you should make adequate checks so that you are confident about the candidate’s normal
standard of performance before making a decision. This might mean asking them further questions, checking with
people who have witnessed their work or collecting more evidence yourself.
Where the evidence takes the form of a report (observation report, witness report, candidate report) it needs to be an
accurate description of what happened with enough detail for it to be evaluated against the standards.
E.9 Assessment records
Make a record of your decisions which provides a clear audit trail for others who need to check them. It should show:
• The evidence collected
• Where it can be found
• How each item of evidence has been judged against the standard
• Your decision
• Date
• Signatures (or digital validation) by you and
your candidate
Avoid unnecessary copying of evidence which is normally retained at work. Most work records in the rail industry can
be identified from reference numbers so quoting this and indicating where the evidence can be found is sufficient.
Information obtained from monitoring should be treated in the strictest confidence.
Judge evidence against criteria to make assessment decisions
Mandatory evidence
• Three assessment decision records
◦ For the three plans used for assessing competence of candidates (see above)
◦ Using at least three assessment methods
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E.10 Giving candidate’s feedback
After an assessment your candidate will want to know how they have done and you should give them feedback on
your decision as soon as practicable. If you have been observing your candidate at work they may not be able to leave
the job and you will need to arrange a suitable time. If you have been carrying out a professional discussion or asking
questions you may need to take a short break to gather your thoughts.
Choose a suitable place. It is important that it is private so your candidate feels comfortable to join in and ask you
questions, but it does not have to be an office or training room. It is better to sit in a van on the same day than book a
room a week later.
During the feedback, you should:
• Tell them how well they have done
• Explain which part of the standard they have met
• Explain any part of the standard they have not met and why
• Encourage them to make their own comments, ask questions and get advice
• Tell them what happens next
Provide feedback and support to candidates on assessment decisions
Mandatory evidence
• Observation
◦ Of the assessor candidate giving feedback to a candidate
◦ By a recognised assessor
• Written records of feedback to two other candidates endorsed by a qualified assessor
E.11 Where competence has not been established
For rail assessors it is particularly important that if a candidate cannot meet the standard required, any follow up action
is in line with the risk. If you are not the candidate’s line manager this may not be your responsibility, but you will need
to pass the information on with appropriate urgency. If it is your responsibility you might decide on or recommend any
of the following:
• Re-briefing
• Further training
• Coaching
• Additional supervision
• Removing the candidate from that particular activity
• Reassessment
You should make a record of the action planned and when it has been completed. You should avoid reassessment
immediately after coaching as you need to be able to confirm that any performance or knowledge that was lacking has
been retained and applied consistently in the candidate’s work.
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E.12 Contributing to quality assurance
Your verifier is responsible for quality assurance of assessment but you must also play an active role.
Your verifier will:
• Support you with training, information and advice
• Monitor your assessment by watching you
• Sample a percentage of your assessments to check the quality of the evidence you have used and your records to
verify that your decisions are sound
• Arrange standardisation activities and assessor meetings
You should:
• Contact your verifier if at any time you are unsure what to do
• Keep your records complete and up-to-date and pass on information promptly as required
• Cooperate with your verifier to make arrangements for monitoring and sampling of your assessments
• Take note of their feedback and complete any action points they set
• Attend meetings and take part in standardisation
• Pass on any ideas for improvement
• Pass on candidate complaints and appeals in line with the agreed procedure
Contribute to the internal quality assurance process
Mandatory evidence
• Two assessment record, one for each of two candidates
• Must have been part of the Quality Assurance (QA) process (usually countersigned by your verifier)
• Written records of having reviewed candidate evidence:
◦ At least two pieces of evidence for each of the two candidates
◦ As part of internal standardisation procedures
• Written statement from your verifier
• Show that you have contributed to quality assurance
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Appendix F: Types of simulation
F.1 Methods and types of simulation
This section covers a wide range of simulation technologies and methods and their application to training and
assessment across the rail industry workforce.
Media and methods purely aimed at knowledge delivery have not been included as the focus is on interactive training
rather than passive learning.
The broad categories of training and assessment media and methods covered in this appendix generally range from
high to low fidelity.
F.1.1 Original equipment (OE)
The use of original equipment in a non-operational environment, particularly applied for hands-on skills training, and
for live training exercises. These can include:
• Sections of track, points engines, track circuit and signalling equipment used at rail maintenance training schools.
• Rolling stock used for service crew training, evacuation training and practise in handling derailments.
• Rolling stock used for the training of trainee drivers in fault find procedure and the operation of safety equipment.
• Driving of real trains on greased rails on a specially treated section of track for low-adhesion training.
• Off-line signal boxes.
• Live drill exercises involving emergency services for incident and accident response training.
• Other training involving models, role play, communication and table top exercises.
Advantages
Disadvantages
• Nothing can be as physically realistic as the original
equipment.
• Can be expensive to make available and maintain
for training use.
• Provides the correct look and feel of the real thing,
optimal validity and transfer of training.
• Heavy demand on instructors’ resources – typically
small groups per instructor, and often one-to-one.
• May require large facility eg large track layout or
rolling stock shed.
• May not be available when required if ‘borrowed’.
• Equipment used may not be suitable for training
(not designed for regular misuse).
• Instructor control is limited (cannot demonstrate sufficient range of fault/out-of-course conditions etc).
• May impose additional risks when training involves
the live operational railway.
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F.1.2 Situational role play (structured or free play)
Used mostly in an immersive learning environment or classroom with non-technology based situations to support
development of interpersonal skills and to train appropriate reactions to operational situations. A low-fidelity solution is
used in many industries to provide relatively low cost practise and development of skills. Common uses include:
• Communications.
• Customer service.
• Conflict management.
• Giving evidence to inquiry boards.
Advantages
Disadvantages
• Provides interactivity and participation in otherwise
dry and uninspiring ‘classroom’ material.
• Is largely subjective and difficult to quantify if used
for assessment.
• Flexible – can be easily and quickly updated.
• Sometimes difficult to get all trainees to participate
fully particularly if group is large.
• Use of actors can be used to enhance interpersonal
skills based roles/aspects.
• Variability within and between groups can affect
assessment standards and results.
• Very inexpensive method, requiring only low cost
assets, eg classroom facilities/simple mock-ups.
• Learners benefit from group learning situations
learning from instructors and experience of their
peers.
• Social situations can be trained (eg customer
service, team working, communications etc).
• Can be combined with other methods and media.
• Instructors can easily react to group dynamics and
address any difficulties on the spot.
F.1.3 Mission or High Fidelity simulators
These often include the use of real or accurate replicas of workstations or equipment to create a high fidelity simulated
learning environment in a training centre, capable of presenting the learner with the closest possible representation of
operating conditions. The most common examples of such simulators used in rail include:
• Full cab simulators for driver training and assessment.
• Control rooms with integrated electronic control centre (IECC) simulators for signallers.
• Absolute block simulator and NX panel signalling simulators.
• Engineering equipment simulators.
Such simulators provide an opportunity to encounter those situations and tasks where detailed dynamic aspects of the
environment can affect the development of situational awareness and psychomotor skills, and where these skills are
important elements of performance.
The term ‘full mission’ can also be applied. This is based not only on the look and feel but on the functional operations
that the simulator can perform. In order to be a full mission simulator, the simulator should be able to recreate
operational situations that dictate the learner’s interaction with the simulator and is faithful to the real equipment using
the same operational procedures, although still simulated.
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Advantages
Disadvantages
• Facility to train/practise/assess for out-of-course
events.
• High initial procurement cost and ongoing support
cost, particularly for visual database and scenario
development.
• A range of scenarios are able to be presented to
address different learning points in dealing with
abnormal or degraded conditions that cannot be
practised safely or practically in the ‘real world’.
• High fidelity immersive training environment to put
learners into ‘near real world’ situations but without
the associated risks.
• Repeatability of scenarios and conditions for all
learners.
• Provides consistent and definable scenarios to
cover the wide range of training goals.
• Provide practise/development of psychomotor and
procedural skills.
• Resource intensive – generally a similar instructor/
assessor to candidate ratio as with OJT, yet with
additional investment for instructors or other staff to
be trained in operating the simulator.
• Setup time for training sessions can be longer than
the session itself, especially if the user interface has
been poorly designed.
• Usually found in fixed location training centres.
• Costs can be incurred on travelling time and expenses for candidates who are not based at the
simulator location and may also require more time
away from the job.
• Provide opportunity to practise scenarios in real
time or compressed time-frame.
• Often requires special building arrangements
(especially regarding air conditioning) or significant
alterations to existing buildings.
• Can provide event recording and automatic performance evaluation to support audit trail requirements
and maintain objectivity in assessment.
• Not easily portable due to the complexity of installations and cabling between simulator and computer
hardware.
• Can include facilities for a relatively large number of
other learners to observe through computer/video
displays.
• Can suit short term training needs but be unnecessary for longer term usage or training objectives.
F.1.4 Part environment simulators
Part environment simulators are those that produce the majority of the operational and functional equipment to operate
the simulator (eg driver’s desk in a part cab simulator). It is reproduced to a degree of fidelity that faithfully replicates
the original equipment’s look and feel, along with a visual image, but the environment of the work place surroundings
is not present.
These can sometimes be confused with full simulators as they often have a high level of fidelity with the equipment
that has been provided, but the geography of the immediate environment is not present and therefore does not
constitute a ‘full simulator’.
They can also include the ability to reconfigure the operational controls to replicate other forms of similar operational
equipment. This is more commonly done with the use of touch screen technology. This increases their target audience
but reduces the operational fidelity as the actual motor skills required to perform a positive or negative action (the
pushing of a button, pulling of a lever, etc) has no feedback.
The automatic sub-routines that a candidate would normally employ would then be interrupted by these reductions in
fidelity. If the placement of these part (cab) simulators is also within a shared environment (such as part of a training
room) then there is an issue of internal distractions that may affect learner performance.
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Advantages
Disadvantages
• High fidelity operating controls at a lower initial cost
than FS.
• Fidelity and realism of the simulator can have a
large effect on learner performance if they cannot
immerse themselves in the environment.
• Hardware can be re-configured to replicate other
equipment (traction) types.
• Are usually less bulky then full cab simulators and
can be easier to house.
• Reconfigurable operating controls such as touch
screens, can significantly reduce the operational
fidelity as the ‘hands on positive action’ is lost.
F.1.5 Part task trainers
These devices often focus on specific aspects of a role and are usually employed to supplement or fill critical training
gaps within the context of an overall training and assessment programme.
Since the part task trainer (PTT) is generally associated with medium to low fidelity devices, it can provide lower cost
training facilities for specific tasks where exact replication of the operator’s workstation is not necessary. Examples of
this include:
• Route-learning devices for drivers.
• Multi-function generic driving simulators used to train or assess principles rather than traction unit specific training.
• Generic signalling simulators.
• Communications trainers.
• Mock-up station and customer service areas for the training of ticketing, customer service and station staff.
• Screen based emulators providing free-play practise in fault diagnosis for maintainer training.
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Appendix G: Simulator procurement checklist and example tender
G.1 Procurement checklist
In this section, points on the procurement checklist appear in green boxes like this.
This checklist is intended to help ensure that the procurement and development phases of acquiring a simulator run as
smoothly as possible. It applies equally to refurbishment or replacement of any existing simulation solutions caused by
re-franchising, new rolling stock procurement or existing simulation equipment obsolescence.
Make the decision to procure a simulator based on a business case outlining the economical and
performance advantages for the company.
Considerations for the business case will include the level of simulation required to meet the needs of the training and
competence management arrangements, as well as any support facilities or ancillary equipment.
However, it is also worth bearing in mind potential revenue generation from other users as part of the business case.
For example, time on a driving simulator could be sold to other railway undertakings, to bodies undertaking human
factors research, incident investigation or to provide a training and assessment media based on their need, or to rail
enthusiasts during non-core training time.
Consider leasing as a procurement strategy. Simulators can be leased along with rolling stock as part of the
package and reduce the risk inherent in short franchises and equipment ownership.
Consider appointing a simulation manager to ensure that the project has the appropriate level of technical
and management support throughout. The manager should be responsible for everything from specification to
acceptance of the simulator to ensure that training requirements are met by the solution.
The manager will also be responsible for allocating time and resources within the project to train the simulator
staff in its operation. Ideally this will be provided by the supplier as soon as possible, so that when the simulator is
commissioned it can begin operational use immediately.
Care should be taken to understand the requirement and skills that a simulator manager needs to possess. It may
be better to ensure that the candidate has preserved railway knowledge and gathers simulator expertise from user
groups and other RU’s that have purchased simulators. This will build on the expertise foundation that has now been
established by the Simulator User Group (SUG), bring railway integrity to the project and create ownership.
Ensure that the procurement of the simulator is based on a well-defined need, extrapolated from a comprehensive
training needs analysis or Risk-based training needs analysis. This way, the required functionality and purpose
can be established, providing an audit trail used as a basis for defining the functional specification of the
simulator.
The specification needs to be firmly based on evidence from the RBTNA. Unless there is suitable expertise within the
company, it is probably sufficient to develop a detailed functional specification, and allow the supplier to propose the
technical specification.
For example, instead of specifying visual display resolution in terms of pixels, specify the requirement to be able to
read a signal or sign at a prescribed distance and put the onus on the supplier to demonstrate compliance with this
functional specification. Consider also the level of flexibility desired (in manipulating route databases, visual objects,
scenario development, data collection). The option could be considered of buying creative tools such as a track builder
tool or scenario development tool. The building of scenarios or lines after the initial simulator set up can be very
expensive if extensive and bought from the simulator provider.
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Talk to other users about their experiences with potential suppliers.
There is a significant body of experience of simulation in the rail industry and a willingness to share experiences.
There may be wider benefits in selecting a supplier whose simulator data are universally compatible, so that visual
databases, scenarios, and even output may be shared and compared.
Ensure that the original equipment manufacturer or potential supplier stays within their technical remit without
altering the functional specification as this may introduce risk that the solution will not address your training
needs.
In simulations that have visual simulation requirements do not underestimate the resources involved in production
of the visual databases.
Visual databases are time consuming to produce and acceptance is subjective. Generic databases are generally less
costly and more flexible in training than geo-specific databases. Geo-specific databases need to be kept current with
operational routes and equipment, and this can add significantly to the ongoing costs of ownership.
The high rate of technological advancement means that there is significant cost versus performance advantage in
delaying the procurement of the computer hardware and, in particular, visual simulation systems, as late in the project
as possible.
Ensure that the buildings to house and operate the simulation are available to the right specification and if not that
budget is available to develop them.
All simulations have space, power and operating environment requirements that need to be taken into account. Some
have sound insulation requirements and others may have special floor loading requirements (especially full simulators
with motion platforms) and may require false floors to accommodate cabling.
Further accommodation for trainees (briefing/debriefing rooms, observation areas), training staff (control room), and
ancillary equipment (for example, utilities, office space, mess facilities) should also be considered. Failure to provide
suitable accommodation, if this is the buyer’s responsibility, in time to accept the supplier’s installation schedule will
delay the project and may incur penalties.
Put the onus on the simulation contractor to obtain the data needed to be simulated and ensure that the
contractor has the appropriate commercial arrangements in place with the original equipment manufacturer.
Data availability on the system to be simulated (route databases and traction models) is crucial to the success of
the project. Late or incomplete data will cause project delays. The contractor will know what information is required
from original equipment manufacturers and when it is needed. This ideally needs to be included as a contractual
requirement when a company buys new trains or equipment that will then need associated simulator equipment.
Draw up a clear and explicit list of acceptance criteria at the start of the project which the supplier should agree to.
The criteria should be based on the functional specification. This is an auditable way of ensuring that the product
delivered by the supplier meets your needs and expectations.
It is necessary to establish how disagreements during the project and in the following support contract should be
managed. Procedures for arbitration should be set.
Ensure that the contractor understands the need for updating the facilities in line with changes to original
equipment and operating procedures.
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During the life of the simulation, there will be a need to update the facilities in line with changes to the original
equipment and/or operating procedures. The contractor should make provision for this in the proposed solution. If
provisions are not made with the supplier of new original equipment and the associated simulator manufacturer to
accommodate modifications and changes, this could be problematic and costly later on.
A simulator can be expected to have a long life and will need to be supported throughout. Ensure that the
contractor understands the availability reliability and maintainability required from the simulation and that
suitable support plans are in place to meet these requirements. Support issues are best negotiated as part of the
procurement negotiations.
Defined simulator systems/equipment fault levels should be set, along with the expected responses/time scales to site
attendance and workarounds to be put in place. Key performance indicators (KPIs) must be agreed for restoration of
full functionality along with penalties if they are not met.
Procedures for scheduled maintenance visits should be agreed, as well as fall back and contingency measures in
case of or damage caused during maintenance.
Adequate insurance should be taken out to cover maintenance and costs related to simulator failure incidents (eg if
the simulator sets off a fire alarm, forcing the closure of a major station).
Be aware that computing and other IT equipment is generally not supported for more than five years and it is
now commonly accepted that such equipment and associated software operating systems need to be replaced at
approximately five year intervals.
Consider the use of ESCROW services at the beginning and throughout the life of the project/simulators to protect
from supplier insolvency and other issues.
G.2 Example of tender
The example below should only be used as advice and guidance
on how to produce a tender. An internal company procedure may
already exist that sets out a template for your individual procurement
guidelines. It is normally better to seek advice from your procurement
experts or departments prior to starting this process.
Any tender submitted must strictly adhere to the structure defined in
the Form of Tender description outlined in the preceding letter. This
will allow the customer to efficiently and fairly evaluate tenders from
multiple potential suppliers.
The tender shall include all the information required under each of the
sections. Bidders are advised to review their tenders thoroughly before
submission to ensure that all the requested information has been
provided. The tender must include eight sections and appendices as
shown on the right.
Figure 56: Tender process overview
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Appendices
Section 1 - Supplier overview
A supplier overview is to be provided that will contain the following:
• Company introduction
• History
• Staff profiles
• Customer base
• Audited annual report for the financial year
• Quality Assurance policy
Section 2 - Proposal
Section 2 shall contain a complete and detailed functional specification of the system being offered by the bidder.
The functional specification should cover all the functionality described by the driver simulator(s) requirements in the
section below on driver simulator(s) requirements for ITT.
This section should also contain a summary table which will detail and cross-reference to the driver simulator(s)
requirements. It should indicate compliance/non-compliance/workaround solution.
Bidders should be aware that the driver simulator(s) requirements provided in this ITT represents the minimum
functionality required by the system.
Tenders should clearly identify functionality that is over and above that which is described in the driver simulator(s)
requirements. The evaluation of the tender will include an appraisal of these areas of additional functionality.
Section 2 shall also contain a product brief containing:
• Ease of use
• Flexibility
• Security, to include an information security policy
• Software compatibilities
• Details of regular upgrades and enhancements
This section must also contain a proposed service level agreement (SLA) which covers the following as a minimum:
• Help desk support during working hours of 8.30 am to 6.00 pm
• Method of logging calls and monitoring progress of the issue
• Agreed processes if a dispute between service provider and user arises over any issue of maintenance
• Response time matrix for scale of issue
• Scale is to include example issues
• On-site attendance for critical issues, eg failure prior to training session
• Escalation route for issues
• Remote/on-line support
Implementation brief - a detailed summary of the support that is to be offered during the implementation of the
system until the client’s acceptance, containing:
• Proposed implementation team
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• Implementation stages
• Supplier and customer responsibilities
• Proposed timescales
• On-site and remote levels of support and the client’s escalation route.
Support brief - to contain additional services offered including membership of user and product development groups.
Section 3 - IT brief
From Q3 2004 the Customer will be running a Windows 2000 (or current operating system that is compatible) server
based environment using IP as the core network protocol.
Up to that time the server environment is a Novelle Netware system. Microsoft Terminal Services will be in use and
may be considered as a suitable means to deliver the system to the customer desktop.
All printing is network based.
SQL server is the default database environment in use. The supplier will need to explicitly state the database used by
the application. A firewall is provided within the network infrastructure.
Section 3 shall contain the following:
Product
• SQL Server or Oracle are supported databases. The supplier will need to specify the database used by the
application along with all other supported databases.
• It is suggested the development language used will be seamless to the customer. However, if this is relevant the
supplier should make specific mention of this.
• The supplier must specify the desktop delivery methods supported eg full customer installation only, terminal
services etc. Explanation of the services provided within each delivery method must be provided.
• The technical specification requirements of the server required for the simulator must be provided.
• The Customer specification requirements are identified in this document. The Printing environment is based on
IP printing and network bandwidth requirements should be identified. However, it is possible that the server and
simulator will be located at either end of a LAN extension connected by a 100 mbps fibre optic link.
• A report generator is required with a facility to generate electronic files and hard copies.
• Web browser functions should be included if available in the application.
• A full description of how these facilities will work must be provided.
Services
• Technical support for physical access will be provided 08.00 to 17.00. Otherwise support must be provided
remotely at times identified by the customer.
• Service upgrades are expected only in the event of the software becoming unusable during the life of the contract.
• However, service patches and bug fixes must be provided within a reasonable time of the problem being identified.
The supplier must document these policies.
• The supplier must identify the preferred ‘object distribution’ method
• It may be a company policy to protect your network with VPN (virtual private networks) so this must also be
specified.
• Database administration and maintenance requirements must be undertaken the supplier. A description of these
arrangements is required.
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Section 4 - Additional information
Section 4 shall contain a statement of factors and issues not contained in other sections of the tender and may be
provided should the bidder believe such information should be brought to the attention of the client. The length of this
section should be limited to two pages.
Section 5 - Product range
Section 5 shall contain an overview of the suppliers product range offered and is to include the functionality of each
product.
Section 6 - Pricing brief
Section 6 shall contain the price offered by the bidder to the client. Any assumptions that have been made when
calculating prices must be stated.
Calculation of prices must be stated where a charge is applicable.
The bidder shall complete the pricing matrix (possibly attaching a pro-forma as an appendix).
Along with completing the pricing matrix, the bidder is required to provide explanatory notes of the service provided.
This is particularly relevant in the case of training and ad-hoc consultancy.
It should be noted that travel expenses should not be included for on-site visits as free travel will be provided by the
client.
The bidder must also state payment options offered along with the associated terms and conditions.
The bidder must also list in full, any other areas where it is believed that charges may/will be applicable.
Prices quoted are to be fixed for the duration of the agreement.
Section 7 - Planning and management
Section 7 shall contain a description of how the delivery of the system and the service will be planned and managed
by the bidder.
The tender must clearly state the date on which the bidder proposes to deliver the final solution to the customer for
‘user acceptance’ testing.
The following elements should be included as a minimum:
• Project plan: showing dependencies, resources, critical path, contingencies and milestones
• Organisation plan: showing team structures roles and responsibilities
• Business continuity plan: describing the procedures that will be in place to provide contingency for the service
provided to the client
• Customer review plan: description of areas where the client’s input is required eg document reviews, progress
meetings, acceptance testing, project management practices etc
• Quality plan: statement of how the bidder will ensure quality is maintained throughout the project phases.
If the bidder intends to make use of any sub-contractors for either implementing or providing any component of the
system or the service then this must be clearly stated in this section.
The sub-contractor should be named and a description provided of the components they would be asked to supply.
Section 8 - References and documentation
This section must include a description of similar projects completed by the bidder in the past. Named individuals
complete with contact details should be provided to enable the customer to canvass references.
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G.3 Driver simulator(s) requirements for invitation to tender (ITT)
Introduction
• An introduction into the company issuing the ITT and its basic requirements, use and possible location of the
equipment must be identified within the ITT.
• An example of the more detailed requirements including numbers of simulators (which will have an effect on the
strategic bidding from the suppliers as well as the price) and a strategy of ‘core’ or ‘specific’ equipment types are
detailed below.
• It is worth reviewing at this stage what the bargaining power of the customer is and consulting with any owning
groups or collective procurement departments. This will add strength to the negotiations if there is a group
purchase.
• If this is a group purchase there may be merits in first obtaining a framework supply agreement, which may
not promise to deliver specifics but determine the selected supplier against broader technical specification and
functionality.
• The specifics of the deliverables will then be determined by the technical specifications and the individual needs of
any affiliate that wishes to purchase from the framework supply.
The requirements
• Lay out in broad terms what you are asking the suppliers to bid for; how many simulators, are they full cab, full
mission, with or without cab environment, part task trainers, CBT, with a projected type and quantity of each?
• All simulation equipment must include the capability to assess and measure the training session and individual
performance in using the simulator or in being assessed against a set of criteria. Interface with OTDR systems is
desirable to enable the recreation of incidents.
• In addition to meeting cost, quality and specification requirements, the successful bidder will have demonstrated a
complete conformance with the core elements of the tender with clear pricing and description for the add-ons and
options. Any further enhancements may be included provided they are described and clearly priced separately.
• The customer may want to give an indicative timescale to encourage the suppliers, or if it is part of other
procurements or franchise bidding there may be merits to disclosing a more delayed timescale for purchase and
delivery. This may also be due to site availability.
• Bidders will be given an opportunity to seek clarification of any details contained in specification. Procedures for
this are contained in the ITT document.
• The customer should also give a broad specification with requirements that have been formed out of the training
needs analysis and invite the suppliers to provide their solutions.
• Being too specific will truncate some of the bidding process and also not encourage the suppliers to view this as
development; they may try to provide more off the shelf solutions rather than a bespoke answer.
• A good deal of time and effort should be allocated to getting the ITT specification correct, as this will then govern
the scoring and ultimately, the selection of the supplier.
• Individual suppliers cannot be asked for anything that has not been included in the ITT, as they all need to be given
the same opportunity to bid.
• The specification should be broad enough to capture all the functionality requirements of what the customer wants
the simulator and equipment to achieve, with the use of high level statements, which will ensure that the training
needs are met and also give a view on how all the suppliers achieve these performance statements.
• These should be determined from the RBTNA, initial and projected usage, so each performance statement should
be able to deliver the requirements needed.
• There is a danger in specifying too much detail that can prove costly if anything is left out or underestimated. Level
of functionality is also outside the scope of supply within the contract.
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• The high level statements that the suppliers need to find solutions for, need to encompass all the requirements but
be at a high enough level of statement that protects against error or misinterpretation.
• Statement- the simulator needs to faithfully replicate all communications and record them in conjunction with the
candidate’s actions: Cab secure radio must function to enable the driver to speak to the operator.
• Note: you should always feel like the customer and tell the suppliers what you want or need the equipment to do. It
is then up to them to go and find a suitable solution, they should do all the work!
G.4 Example tender specification
Driver simulator(s) specification for ITT
Functionality:
• Must be of simple design and suitable for use by personnel with only basic computer skills.
• Full drivers cab. Options for simulators without full drivers cab environment. Both must be of durable and realistic
construction, but need not be real cabs or desks.
• If two or more simulators are co-located, one operator is to be able to supervise them simultaneously.
• Must include a secure, auditable usage database, recording instructor and driver details, type and duration of
training, critical events etc. This data must be available for external electronic archiving.
• Must incorporate a ‘timeline’ or similar control, where events can be produced in real time and positioned in
advance of the train. System control should maximize the use of mouse and ‘point and click/drag and drop’
functionality with minimal keyboard usage.
• Must be able to build, catalogue and save standardised scenarios with ease. The ability to transfer scenarios from
one simulator to another would be desirable.
• The control system must be capable of analysing, printing/storing/recording and external archiving of post run
performance and assessment data. Instant playback of the audio and graphics for debriefing and post-run
assessment is required.
• A minimum of 20 pre-programmable and ad-hoc train faults and failures will be required, featuring comprehensive,
driver initiated fault rectification. The system should have a degree of intelligence by where it can recognise correct
or erroneous driver actions and recreate realistic responses, to those actions.
• All key safety systems must be capable of covert disablement (no warning indications) to assess driver awareness
and reaction to unannounced failures.
The operator’s station must be a fully integrated design. To include:
• Display of the driver’s external view.
• CCTV of driver’s station.
• Control of both the above, which need to be capable of remote viewing in an adjacent classroom if required.
• Display of route schematics and events.
• Simple and ergonomic control features.
• Intercom between instructor and driver’s station including the touch screen fault finding station.
• Simulated driver to signaller to guard communications equipment.
• Simulated driver to passenger emergency communications equipment. To include recorded messages from virtual
passengers, such as fire, passenger in distress, etc.
• Health and safety compliant displays and seating.
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• Low maintenance and robust.
• Details of the training and support package for simulator instructors/operators must be included.
• Integrating an interactive graphical display of the simulated route and signalling which would be familiar to Network
Rail signallers. Allowing them to set signals in a similar way to which they do in a power signal box. This would
allow joint training of drivers and signallers and would be considered a desirable option.
• The ability to interface OTDR systems with the simulator to aid post incident analysis and training would be
desirable.
• Depending on traction type and space available, those traction types where there is limited peripheral cueing may
only need to be single channel, high resolution, with a smaller arc of coverage.
Visual requirements
• Up to 3 channels: main view high resolution/supplementary views for DOO or peripheral cueing may be medium
resolution.
• At least 140 degree coverage for the main channel, incorporating quality projected image reproduction; a detailed
description of the proposed projection system, its specification, area required and costs for space saving measures,
must be included in the tender; this is to include bulb life, replacement costs and any ancillary equipment required
such as mirrors; any additional considerations such as dust free environment or additional cooling requirements
declared.
• Options for: wraparound, plasma, or flat screen with minimum amount of screen frame intrusion.
• Projected image or wraparound screens must be of a demonstrably high quality.
• The system must produce a fully immersive environment, with a good degree of peripheral cueing where
applicable.
• The image must have a frame rate high enough to ensure flicker free, smooth running at all simulated train speeds,
incorporating a high degree of anti-aliasing.
• No part of the CGI should be seen to build unrealistically close to the front of the train; good depth of field is
required both laterally and to the horizon ahead.
• The landscape is to be free from sharp, unrealistic edges to scenery and objects placed therein.
• The CGI is to be capable of simulating infinite variations of daylight and darkness, seasonal variations including
‘low winter sun effect’, variable degrees of impaired visibility, falling rain and snow, accumulations of snowfall,
leaves and water on and near the track; simulation of an object hitting the driver’s front window is highly desirable,
however it must also be compliant with the need for the driver to have assistance from another person who has a
clear view of the track ahead.
• Realistic simulation of other rail and road vehicles, animals, key trackside personnel and events are required; other
rail vehicles should be ’intelligent’ so as to simulate real traffic and provide the opportunity for interaction with the
driven train; animation of the other trackside features above is highly desirable.
• If the graphics are PC card driven; the type and capabilities of this card are to be declared; where an image
generator is proposed, full specification is required; a side by side demonstration of PC card graphics and Image
generator graphics may be requested.
Event requirements
• Must faithfully replicate the driving characteristics of the host traction, particularly in acceleration and braking; the
effects of terrain, and track conditions on vehicle momentum and braking must also be accurately reproduced.
• Must be able to build, catalogue and save standardised scenarios with ease; the ability to transfer scenarios from
others TOCs or FOCs that have used the same simulator provider would be desirable.
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• The simulation must be capable of replicating all types of rail infrastructure found across the British rail industry;
this is to include all types of signage signalling, crossings, infrastructure and procedures found in GE/RT8000.
• The simulation must be capable of replicating all types of rail infrastructure found across the various group of
TOCs; this is to include all types of signage signalling, crossings, infrastructure and procedures found in GE/
RT8000.
• Options for geo-typical and geo-specific routes should be included; to ensure clarity, a definition of geo-typical/
specific and generic routes as they apply to the proposed products is to be included; as each TOC may have
individual requirements the tender should quote for at least 50 miles of generic track useable in each direction; this
generic route must be useable by electrified, third rail and diesel rolling stock; geo-typical and geo-specific routes
should be quoted for in multiples of 10 miles.
• It is not intended to use the simulator for route learning specifically; therefore geo-typical would need to be
geographically accurate, with infrastructure, signalling and signage that would be familiar to the driver; geo-specific
would be expected to be a highly accurate depiction of a real route.
• It must be capable of simulating all situations where the driver needs to action an instruction from GE/RT8000;
this must be consistent with driving the train during normal operations or any combination of degraded working
and emergency situations; the menu of objects available to the simulation is to be extensive and must include
trespassers, work parties with their associated protection arrangements, obstructions and damage of both the track
and OLE.
• It must have the ability to replicate routine urban and hi-speed passenger operations; this is to include areas of
complex signalling, all types of signalling and block working procedures, level crossings, third rail DC/AC; diesel
power change locations, shunting movements in and around complex marshalling areas with associated ground
signals and signage.
• At least one large station with permissive working arrangements and tunnel approaches; some simulators and
routes will need to replicate driver only operation (DOO).
• A programmable, virtual guard would be required on non DOO simulators; this is to supplement the ability of the
simulator operator in replicating station duties and potential procedural errors by the guard from the control desk.
• A comprehensive and simple to use track builder tool is required.
Driver’s environment requirements
• All cab and desk equipment that the driver routinely uses, must replicate the appropriate functionality and be
ergonomically faithful to the host traction; functional replication of in cab communications equipment is required.
• CBs or switches which would not normally be used to rectify or isolate any fault need not be functional but must be
represented; minor controls whose function is not replicated (wipers/washers etc) need not be functional but must
be represented.
• The cab interior and desk must be a realistic and immersive representation of the host traction and capable of
simulating day and night time operation.
• Although full motion is not required, use of a simple semi-active driver’s seat to enhance the perception of
acceleration and braking would be desirable.
• Faults and failures which can be rectified or resolved from within the provisions of GE/RT 8000, without leaving the
drivers cab; must be resolved from the simulated drivers cab.
• Train Management System, where fitted, must have appropriate functionality.
• Those driver actions which require access to other parts of the train must be replicated and resolved via a touch
screen faults station adjacent to, but not in the drivers cab.
• Extensive surround-sound style, sound effects are required to fully replicate the driving experience, particularly
wind and track noise, throttle response and brake sounds including wheel slip/slide/flats, break release and sander
operation; in cab warning sounds and train whistle are to be consistent with the unit type.
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• An appropriate level of environmental control will be required to ensure the provision of an environment conducive
to concentration and effective training.
Supplementary training and assessment
• There is a need for part task trainer (PTT) and desktop CBT, teaching and assessing those procedures and events
which do not specifically need a full simulator.
• The PTT will run the same scenarios that the main simulator has without the need for direct supervision. The
scenarios should be preloaded and lead the student in ’teach mode’ and ‘score’ performance in ‘assess mode’.
• The image should be displayed on a TFT screen of not less than 17 inches. Options for other styles of display can
be included but must clearly state the cost differential.
• The driver’s controls may be of the generic type but should not be just a PC keyboard. Ancillary controls which
would be required to correctly complete the given scenario must be available on the driver’s control station.
• Desktop CBT which can teach and assess competency in ‘rules’, ‘fault finding’ ‘safety-critical communications’ etc.
The CBT must be simple to operate with on-screen help. Minimal keyboard inputs maximising the use of ‘point,
click/drag and drop’ features. Multiple choice questions must incorporate cheat proof logic. The CBT should be
priced per suite, each suite to be four sets of equipment.
Installation and Development
• Detailed proposals for the time and area required for installing and commission the simulator will be required. Any
access, weight, ventilation, power supply, COSHH, health and safety or other potential limitations must be included.
• Description and cost of all research and development that has taken place with regards to the product that is
offered, over the past three years is to be included. This must be broken down and detailed on a year by year
basis.
• Description and costing that have been entered into the budget for research and development for the next two
years, with regards to the product that is offered is also to be included. This must be broken down and detailed on a
year by year basis.
• Updates which are included in the tender bid (first three years of operation) and those which would require further
expenditure must be stipulated.
• The manufacturers preferred method of downloading CGI and other software updates must be clearly defined.
Broadband connectivity or networking to all group simulators would be considered as optional.
• Full details of the operating system, processor, motherboard, memory and other key system components are to be
supplied. Software version numbers and any hardware expansion potential which has been incorporated are to be
listed and fully explained. The information provided will be used to assess the extent of ‘future proofing’ which has
been incorporated.
• Comprehensive listing of any components, hardware, software, licenses or data which would need to be sourced
by the customer for any part of the simulator, PTT, or CBT which are not inclusive to the tender, must be clearly
detailed.
Service and maintenance
• Service, maintenance and warranty costs are to be included, with projected routine maintenance requirements and
costs for the first 3 years of operation.
• The cost of and responsibility for replacement of essential consumables such as projection system components are
to be detailed. Mean running time between failures and time to fix similar simulators already in use will be required.
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• A comprehensive product support plan detailing the cost of product support at various levels of intensity will be
required. The level of ‘on-call’ support and time-to-fix must be defined for each level. A period, post commissioning,
for the free rectification of ‘teething problems’ is to be defined.
• Given the potential for high reliability of PC based systems an ‘only on failure’ level of support would be considered.
Response and rectification parameters for this option must be defined.
Specification compliance and transparency
• To assist in conducting a fair and equitable evaluation of tenders, it is vital that all instances of non-compliance
with the specification are declared. Omission of detail which is requested in the specification could prejudice the
proposal.
• It is understood that proposed products may in some areas exceed the specification and in others be non-compliant
in minor detail. These factors will be taken into consideration during the evaluation process.
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