Middleton Railway Trust Ltd. (MRT) Policy Directive

Reference: TOP/2 (1/23)

Subject: Training and Examining of Train Crews.

For the attention of: Traffic Manager, Volunteer Manager, Rules & Disciplinary Sub-Committee, All Council Members.

This Directive forms part of the Safety Management System.

Revision History

Previous versions of this Directive were as follows. Reference 1/90/1 was the initial version.

Version 7/19 replaced it, following a complete review of the Competence Management System by the Safety and Operations Committee and the implementation of the revised numbering scheme for directives.

Version 2/22 included minor updates to ensure consistency with TOP/5 (2/22).

This version includes updates to align with decisions made about what roles each assessment covers, to align with decisions taken whilst setting up operational competence in HOPS.

Content Summary

This Directive contains the following sections: Introduction

Selection Process Training Regime

Assessments & Maintaining Competence Initial Assessments

Ongoing Assessments Appeals Process

Actions to Maintain Competence Assessors

Competency Recovery Plans Records

Schedule 1: Competency Matrix for Train Operating Duties

Introduction

1. This Directive defines the requirements and processes for any person (referred to as “staff”) wishing to undertake train operating duties for the MRT, and outlines how competency is attained and maintained.

• The Traffic Manager is responsible for the implementation of this Directive, to ensure that staff who are undertaking train operating duties are competent in their role(s).

• In the context of this Directive, the term “train operating duties” applies to all grades outlined in the competency matrix for train operating duties that forms Schedule 1 below. Those grades marked with a ‘T’ in this matrix are deemed as trainee grades, forming part of training and development, and are not formally assessed.

• This Directive defines the system by which competence is managed for all tasks, including Safety Critical Tasks, in line with HRA Guidance Note HGR-A0050 on Competence Management Systems. It outlines the steps taken to ensure that staff involved in train operations are provided with the necessary training and are assessed for competency in the respective grades.

• This Directive will be due for review at intervals of 5 years.

Selection Process

• Any member of staff who is new to the MRT and who intends to undertake train operating duties will be provided with an induction and an Introduction to Railway Safety (IRS) briefing, which will highlight the significant dangers associated with the railway. This IRS briefing is tailored to the MRT and as such must be undertaken by all staff undertaking train operating duties, even if they have a similar industry qualification.

• Where a new member of staff is experienced in train operating duties within the rail industry (either commercial or heritage), they will be subject to the same selection and training process outlined here, however they may agree an expedited training and assessment route with the Traffic Manager upon demonstration of appropriate industry experience.

• Existing members of staff who decide they wish to undertake train operating duties, or returning volunteers who have had a sustained absence from train operating duties at the MRT, will be provided with a IRS briefing (if they have not already had one) and will then follow the processes outlined in this Directive for training and progression, however the Traffic Manager may agree an expedited progression programme with them.

• Any member of staff wishing to undertake train operating duties must have attained the minimum age for those duties that is stipulated in the Train Operating Regulations. Staff under the required minimum age may undertake training for the grade under supervision, but cannot be deemed competent until they reach the minimum age for that grade.

1. The operation of trains is often both physically and mentally demanding, and as such the MRT needs to assure adequately the ability of a member of staff to undertake safely any train operating duty. These assurances relate to both medical fitness/physical ability and suitability to undertake train operating duties and will be undertaken in accordance with the Policy Directive TOP/5 – Procedures for Medical Assessments, which applies to all grades.

1. During the period in which any members of staff are undertaking trainee duties, the suitability to undertake train operating duties will be assessed by the Volunteer Manager and Traffic Manager, with support from others as necessary. Where it is felt that a member of staff is not suitable for train operating duties, the reasons behind this will be discussed with the member of staff and alternative roles offered/provided where practicable.

1. For some train operating duties, there is a need to ensure that those members of staff who are already qualified are able to undertake sufficient turns to maintain competence. This may mean that opportunities for additional staff to undertake training for those duties may be limited or even suspended.

Training Regime

1. When a member of staff has been deemed medically fit to begin undertaking train operating duties, access to the MRT’s roster system will be provided to enable staff to roster themselves.

1. All practical training must be provided by persons who are competent in the grade for which a member of staff is undertaking training.

1. In addition to the prescribed trainee grades, a member of staff may also undertake training to become a shunter. Trainee shunters must only undertake their training by working closely with a competent shunter and working to their instructions.

1. The Traffic Manager is responsible for the development and maintenance of syllabuses for each grade, and for ensuring that the relevant syllabuses are provided to a member of staff upon commencement of training for any grade. The Rules & Disciplinary Sub-Committee is responsible for the review of these syllabuses, and for ensuring their approval. Each syllabus will define what a person in that grade is expected to know and demonstrate throughout the course of their duties, providing the trainee with clear learning objectives covering both theoretical and practical aspects of train operating duties.

1. Training for all grades consists of both theoretical and practical elements, and it is expected that a trainee will ensure that they are gaining sufficient knowledge and understanding of both the theoretical and practical elements as required. Within the theoretical elements, knowledge and understanding of the applicable rules and regulations must be gained, as this knowledge and understanding constitutes competency in the grade.

8. Trainees should be guided by the Traffic Manager, Volunteer Manager, other Senior Engineers or VLOs as to the expectations of learning in preparation for undertaking formal assessment for a grade. The Traffic Manager, other Senior Engineer or VLO can be consulted to provide guidance on ensuring sufficient knowledge and experience is being gained.

1. The Railway will arrange training classes from time-to-time, as part of training and ongoing development. Members of staff undertaking train operating duties, or training for train operating duties, are encouraged to attend and contribute as appropriate to such training classes.

Assessments & Maintaining Competence

• Assessment of competency is managed through initial assessments and ongoing assessments. An initial assessment must be undertaken for each grade, irrespective of experience. To ensure competency is maintained, ongoing assessments will take place for members of staff who have been deemed competent following an initial assessment.

• Assessment of competence for both initial and ongoing assessments will cover three aspects: knowledge of applicable rules and regulations, theoretical knowledge of operations and relevant vehicles, and demonstration of the practical elements of train operations.

• For each grade, assessments must be based upon the syllabus, to ensure that the knowledge and competencies are satisfactorily demonstrated as part of both initial and ongoing assessments.

• The assessors for each grade are responsible for the development of the initial and ongoing assessments for that grade, for the operation of these assessments, and for ensuring that they are reviewed periodically in the light of experience from their operation. The Rules & Disciplinary Sub-Committee is responsible for the review of these assessments.

• Where a member of staff has relevant experience elsewhere, which may include being deemed competent elsewhere in the grade they wish to undertake at the MRT, or has previously held competency in an operational grade at the MRT, an initial assessment must still be undertaken, however the extent of training required prior to undertaking this initial assessment may be vastly reduced. Any member of staff who believes that they have relevant experience and/or competence should consult with the Traffic Manager in the first instance.

Initial Assessments

• When a member of staff working towards a new grade feels they have undertaken sufficient practical training and gained sufficient knowledge and understanding, including of the relevant rules and regulations, they may request an initial assessment through the Traffic Manager, who will make the necessary arrangements for the assessment. The Traffic Manager will ensure that the member of staff is notified of the arrangements and adequately prepared for what to expect of the initial assessment. Should the Traffic Manager feel that the member of staff is not adequately prepared for an initial assessment, this will be discussed with the member of staff and advice given to support them in reaching a level of adequate preparedness for assessment.

• An initial assessment will normally be conducted in two parts: knowledge of relevant theory, including the rules and regulations, and demonstration of practical skills. Between them, these two parts will cover the various topics outlined in the syllabus for that grade.

• Following completion of each part of an initial assessment, the assessor will discuss the outcome of the assessment and any observations with the member of staff.

• Where a member of staff demonstrates sufficient competency through their initial assessment, they will be entitled to roster themselves for the duty in which that competence has been attained.

• Where the member of staff is not deemed competent following any part of the assessment, advice will be provided as to what improvements are required in order to be ready to undertake another initial assessment, should the member of staff so wish.

• For the grades of Steam Driver, Diesel Driver and Special Responsible Officer (SRO), competency must also be confirmed by the Council on the basis of a recommendation from the Traffic Manager.

• A member of staff who has been deemed competent in a new grade will be monitored for the first 12 months, which may involve ongoing practical assessments. A member of staff who has newly qualified for a grade is not expected to provide any formal training relevant to that grade to other members of staff during this period.

• In particular, a newly qualified fireman (historically referred to as a passed cleaner) should not normally act as a trainee driver of a passenger train until they have undertaken ten rostered turns at fireman duty.

Ongoing Assessments

• In order to ensure that competency is maintained, ongoing assessment of theoretical knowledge, knowledge of the rules and regulations and of practical skills of train operations will be undertaken. These may be undertaken at any time, but normally at no more than 3 year intervals for theoretical knowledge and knowledge of the rules and regulations, and 3 year intervals for demonstration of practical skills where practicable. The ongoing assessments will apply to all grades except those defined as trainee grades.

• Ongoing assessments will normally be conducted in two parts: knowledge of theory and the rules and regulations, and demonstration of practical skills. The assessment of practical skills will normally take the form of an assessor observing the person being assessed with regard to the grade being performed. Where necessary, the practical assessment may be supplemented by verbal or written questioning or other evidence.

• Following completion of each part of an ongoing assessment, the assessor will discuss the outcome of the assessment and any observations with the member of staff, as necessary.

• Where a member of staff is deemed not competent in a grade as a result of an ongoing assessment, the Traffic Manager will develop a Competency Recovery Action Plan in conjunction with the member of staff to facilitate a return to being deemed competent. Once the actions in the Competency Recovery Action Plan have been completed, this will be reviewed by the Traffic Manager who will determine whether the member of staff can be once again deemed competent in the grade, or requires further action.

• In addition to formal ongoing assessments, from time-to-time assessors may undertake informal assessments by observation. Where such informal assessments are undertaken, they should be recorded.

• An ongoing assessment for a driver will constitute an assessment for secondman, fireman and guard grades, where applicable. Ongoing assessments for a fireman will constitute an assessment for secondman grade (but a secondman assessment does not constitute a fireman assessment). Ongoing assessments cannot be used as an initial assessment e.g. a driver wishing to become a guard must still undergo an initial guard practical assessment for the initial award of the grade, thereafter ongoing assessments for a driver role can constitute a guard assessment.

Appeals Process

• Where a member of staff does not agree with the outcome of an assessment, they may lodge an appeal with the Traffic Manager. Such an appeal must be provided in writing within 14 days of learning the outcome of the assessment and must outline the reason(s) for the appeal. The Traffic Manager will review the record of assessment and separately discuss the assessment with both the member of staff and assessor. The Traffic Manager will determine whether the original assessment outcome remains, or whether a reassessment should be undertaken and, if so, the extent of such a reassessment. The Traffic Manager’s decision is final, and should the appeal be unsuccessful, this will be recorded with the reasoning attached. Where the Traffic Manager was being assessed, or was the assessor, the appeal should be made to the nominated deputy of the Traffic Manager.

Actions to Maintain Competence

• It is important that members of staff undertake sufficient train operating duties to retain familiarity with the grades and traction they certified competent for, and so members of staff will need to undertake a minimum of 4 operational turns per calendar year, and with no longer than 9 months between consecutive turns (this does not need to be 4 turns at each grade, just a total of 4 operating turns).

• Where a member of staff has not undertaken a turn on a specific locomotive for some time, refresher training may be given by an appropriate person who is competent and has undertaken a duty on the locomotive sufficiently recently to be familiar with the locomotive.

• As all steam drivers are also deemed to be competent firemen, the ongoing assessment for steam drivers incorporates aspects of competency that a fireman is expected to demonstrate. It is therefore incumbent on steam drivers to ensure they maintain practical competence at firing.

• Where members of staff do not undertake sufficient turns within a calendar year, or exceed the maximum period between consecutive turns, their competence will be deemed to have lapsed. In such a situation, the member of staff may be required to undergo refresher training as part of their next turn, subject to it being within the frequencies of ongoing assessment, as specified in clauses 33 and 34 above.

Assessors

• The current list of assessors is maintained by the Traffic Manager and is reviewed periodically. A copy of it is available to other members of staff upon request.

• Assessors must have suitable experience of the knowledge and skills required for the grade(s) which they are assessing. Where practicable, it is desirable for appropriate training to be provided for assessors.

• The details of the processes for selecting assessors, for training them and for ensuring their suitability for the role, is documented separately in the relevant policy directive(s).

Competency Recovery Plans

• Where a member of staff has not demonstrated sufficient competence, or has given cause for concern (which may be as part of an ongoing assessment, through involvement in an incident or through being the subject of a complaint where subsequent investigation has determined that the member of staff’s actions or inactions were a causal factor), a Competency Recovery Plan must be developed.

• A Competency Recovery Plan will be developed by the Traffic Manager and in conjunction with the member of staff concerned. The Plan will be proportionate and representative of the deficiencies in competence highlighted as part of an assessment or investigation.

• The Competency Recovery Plan must have an agreed end date, which may be an actual date or on completion of a number of operational turns. At the agreed end date, a review of the member of staff’s performance in meeting the actions in the Plan will be undertaken.

• If the review of the Competency Recovery Plan identifies that the member of staff has not satisfactorily demonstrated performance of the actions within the Plan, the Traffic Manager must discuss further available routes to recover competency, ensuring that every realistic opportunity is pursued to return the member of staff to satisfactory competence.

• A Competency Recovery Plan may address several issues and does not necessarily require a separate Plan for each assessment, complaint or incident. Where a Plan already exists and a further assessment, incident or complaint is observed that requires a Competency Recovery Plan, the current Plan must be halted and a revised Plan developed, taking into account the latest need for a Plan.

Records

• Records of medical fitness and competence assessments, including any Competency Recovery Plans, will be retained in an operational file for each member of staff in hard copy. An electronic copy should also be provided where possible.

• Where a member of staff has been involved in any significant operational incident, whether or not the outcome required any disciplinary action or reassessment, a record should normally be kept in the operational file for the member of staff.

• Members of staff’s operational files are only for the use of those who require access, and who have a right to access them as part of their duties at the Railway. Any member of staff has the right to view their own operational file, by request to the Traffic Manager.

• Records for all members of staff undertaking train operating duties will be kept for as long as they are undertaking train operating duties at the Railway, and for a period of six years thereafter.

• Members of staff who have undergone training and successfully completed an initial assessment will be issued with a ‘Grade Card’ with the details of the competency attained. The Grade Card should be available for inspection on any day that a member of staff is carrying out train operating duties for which they are deemed competent.

Schedule 1: Competency Matrix for Train Operating Duties

The following table outlines the competence elements that are required to be demonstrated and maintained to undertake the specified duty/grade. (T) denotes a training grade. An Introduction to Railway Safety (IRS) certification is required for all of the grades below, in addition to the specified competencies.

		Competence element(s) required
		Shunter	Guard Practical	Guard Rules	Secondman Practical	Fireman Practical	Fireman / Secondman Rules	Driver Practical	Driver Rules	Medical Questionnaire #	Medical Assessment
Duty being undertaken	Shunter	X								X
	Cleaner (T)									X
	Crossing Keeper	X								X
	Flagman
	TTI (T)									X
	Secondman	X			X *		X *				X
	Passenger Guard		X	X						X
	Goods Guard	X	X	X						X
	Fireman	X				X	X				X
	Driver (Diesel)	X			X			X	X		X
	Driver (Steam)	X				X		X	X		X
	SRO	X							X	X

^* For an initial assessment, the secondman rules and practical assessment are undertaken together.

^# For a medical questionnaire, further assessment may be required subject to the Medical Officer's review of it.

Drafted by M. Whitaker and reviewed by A. J. Cowling, D. J. Hebden, R. G. Pike, J. E. Auckland S. J. Roberts M. P, McPeake and C. Campbell and approved on 14th January 2023.