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Commission Decision of 29 October 2009 on the adoption of basic parameters for registers of train driving licences and complementary certificates provided for under Directive 2007/59/EC of the European Parliament and of the Council (notified under document C(2009) 8278) (Text with EEA relevance) (2010/17/EC)

EU Decision 2010/17 · Adopted 29 October 2009 · Extends to United Kingdom

Original text. legislation.gov.uk does not revise this item, so later amendments are not shown here. Changes made to it are listed under each provision when known.

Commission Decision

of 29 October 2009

on the adoption of basic parameters for registers of train driving licences and complementary certificates provided for under Directive 2007/59/EC of the European Parliament and of the Council

(notified under document C(2009) 8278)

(Text with EEA relevance)

(2010/17/EC)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Directive 2007/59/EC of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Communityf1, and in particular Article 22 thereof,

Having regard to the recommendation of the European Railway Agency on basic parameters for registers of train driving licences and complementary certificates (ERA/REC/SAF/05-2008) of 19 December 2008,

Whereas:

(1)

In accordance with Article 22(1) of Directive 2007/59/EC, competent authorities should keep a national register for train driving licences or ensure that such a register is kept.

(2)

In accordance with Article 22(2) of Directive 2007/59/EC, railway undertakings and infrastructure managers should keep a company register for complementary certificates or ensure that such a register is kept.

(3)

Article 22(4) of Directive 2007/59/EC requires the European Railway Agency to draft the basic parameters for registers of train driving licences to be set up by competent authorities and registers of complementary certificates to be set up by railway undertakings and infrastructure managers employing or contracting drivers. The national register for train driving licences of a Member State should contain all train driving licences issued in that Member State.

A standard application form should be used for applying for train driving licences, for the purposes of licence registration and recording of updates, amendments, replacements, renewals, suspensions and withdrawal.

(4)

The registers for train driving licences and complementary certificates should be accessible for consultation by the authorised representatives of competent authorities and stakeholders. The different registers should be consistent as regards the data they contain and data formatting. They should therefore be set up using common operational and technical specifications.

(5)

All information contained in licences, harmonised complementary certificates and registers of licences and harmonised complementary certificates should be used by the safety authorities to facilitate evaluation of the staff certification process provided for in Articles 10 and 11 of Directive 2004/49/EC of the European Parliament and of the Council of 29 April 2004 on safety on the Community’s railways and amending Council Directive 95/18/EC on the licensing of railway undertakings and Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification (Railway Safety Directive)f2 and to speed up the issuing of the safety certificates provided for in those Articles.

(6)

In accordance with Article 19(1)(f) of Directive 2007/59/EC, the register of train driving licences should be kept and updated by the competent authorities or by delegated bodies. Member States should inform the Commission and the other Member States of the body which they have designated for this purpose, partly to enable these bodies to exchange information.

(7)

Ideally, each Member State should set up a computer-based driving licence register to achieve full interoperability of the registers and allow competent authorities and others who have access rights to obtain information. However, for economic and technical reasons, this kind of interface cannot be adopted without further investigation. Firstly, it is necessary to agree on methods to ensure that access is granted subject to certain conditions, as required by Directive 2007/59/EC. Secondly, a survey of the number of transactions is necessary to perform a cost benefit analysis and propose a feasible solution that does not impose administrative costs that might be disproportionate to real needs. The European Railway Agency therefore proposed to implement an interim solution, with simplified exchange of information, and proceed with the development of an electronic interface at a later stage.

(8)

In accordance with Article 36(3) of Directive 2007/59/EC, that Directive does not apply to Cyprus and Malta. Therefore this Decision should not be applicable to Cyprus and Malta for as long as these Member States do not have a railway system.

(9)

The measures provided for in this Decision are in accordance with the opinion of the Railway Interoperability and Safety Committee established under Article 21 of Directive 96/48/EC,

HAS ADOPTED THIS DECISION:

Annotations to the whole text

Footnotes

f1

OJ L 315, 3.12.2007, p. 51.

f2

OJ L 220, 21.6.2004, p. 16.

Contents

  1. 1Article 1
  2. 2Article 2
  3. 2AArticle 2A
  4. 3Article 3 Repealed
  5. 4Article 4 Repealed
  6. 5Article 5 Repealed
  7. Signature
  8. Annex I: BASIC PARAMETERS FOR NATIONAL REGISTERS OF TRAIN DRIVING LICENCES (NLRS)
  9. 1Basic parameters
  10. 2Data to be collected
  11. 3Data format
  12. 4Access rights
  13. 5Data exchange
  14. 6Duration of data retention
  15. Annex II: BASIC PARAMETERS FOR REGISTERS OF TRAIN DRIVERS' COMPLEMENTARY CERTIFICATES (CCRS)
  16. 1Basic parameters
  17. 2Data to be collected
  18. 3Data format
  19. 4Access rights
  20. 5Data exchange
  21. 6Duration of data retention
  22. 7Procedure in case of bankruptcy

1

The basic parameters for the National Register of Train Driving Licences (hereinafter ‘NLR’) set out in Annex I F1apply.

2

The basic parameters for the Register of Complementary Certificates (hereinafter ‘CCR’) set out in Annex II F1apply.

2AF1

For the purposes of this Decision–

(a)

“accident investigation body” means an investigating body established in an EEA state in accordance with article 21 of Directive 2004/49/EC of the European Parliament and of the Council on safety on the Community's railways and amending Council Directive 95/18 on the licensing of railway undertakings and Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification or in accordance with article 22 of Directive (EU) 2016/798 of the European Parliament and of the Council on railway safety ;

(b)

“complementary certificate” means a train driving certificate issued under the Regulations or the NI Regulations;

(c)

“the Department” means the Department for Infrastructure renamed as such by the Departments Act (Northern Ireland) 2016 and originally established as the Department for Regional Development by article 3(1) of the Departments (Northern Ireland) Order 1999;

(d)

“the Intergovernmental Commission” has the same meaning as in the Regulations;

(e)

“infrastructure manager” has, in relation to Great Britain, the same meaning as in the Regulations and, in relation to Northern Ireland, the same meaning as in the NI Regulations;

(f)

“the NI Regulations” means the Train Driving Licences and Certificates Regulations (Northern Ireland) 2010;

(g)

“the ORR” means the Office of Rail and Road ;

(h)

“railway undertaking” has, in relation to Great Britain, the same meaning as in the Regulations and, in relation to Northern Ireland, the same meaning as in the NI Regulations;

(i)

“the Regulations” means the Train Driving Licences and Certificates Regulations 2010;

(j)

“safety authority” has the same meaning as in the Regulations;

3F1

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4F1

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5F1

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Signature

Done at Brussels, 29 October 2009.

For the Commission

Antonio Tajani

Vice-President

1Basic parameters

The basic parameters for National Registers of train driving licences F1kept under regulation 24 of the Regulations or regulation 22 of the NI Regulations, as the case may be, are:

  • Data to be collected (Chapter 2),

  • Data format (Chapter 3),

  • Access rights (Chapter 4),

  • Data exchange (Chapter 5),

  • Duration of data retention (Chapter 6),

2Data to be collected

NLR shall comprise four sections.

Section 1 shall contain information about the current status of the licence.

F1Section 2 shall contain information about the licence issued in line with the list of requirements in Schedule 2 to the Regulations or Schedule 2 to the NI Regulations, as the case may be.

Section 3 shall contain historical information about the licence.

Section 4 shall contain information about basic requirements and initial checks, to allow the licence to be issued and subsequent checks, to allow the licence to remain valid.

The data to be collected are set out in the table in Chapter 3.

3Data format

The following is a list of requirements for the data format of the NLR.

The list is set out as follows:

NoDatum to be displayed
ContentFormatStatus of the requirement

Section 1:

Current state of the licence

1Licence number
1.1Number of the licence F1Number in digits Compulsory
2Current state of the licence
2.1

Evidence of the current state of the licence.

  • Valid,

  • Suspended (decision pending),

  • Withdrawn,

TextCompulsory
2.2Reason for suspension or withdrawalTextCompulsory

Section 2:

Information on the current licence F2...

3Surname(s) of the holder
3.1Surname(s) displayed on passport or national identity card or other recognised document proving identity More surnames are allowed, depending on national customTextCompulsory
4Name(s) of the holder
4.1Name(s) displayed in passport or national identity card or other recognised document proving identity. More names are allowed, depending on national customTextCompulsory
5Date of birth of the holder
5.1Date of birth of the holderYYYY-MM-DDCompulsory
6Place of birth of the holder
6.1Place of birth of the holderTextCompulsory
6.2NationalityTextOptional
7Date of issue of the licence
7.1Display of the current date of issue of the licenceYYYY-MM-DDCompulsory
8Date of expiry of the licence
8.1Date of the expected formal expiry of the valid licenceYYYY-MM-DDCompulsory
9Name of issuing authority
9.1Name of the authority issuing the licence ( F3the ORR, the Department, delegated entity, railway undertaking, infrastructure manager)TextCompulsory
10Reference number assigned to the employee by the employer
10.1Company reference for the train driverTextOptional
11Photograph of the holder
11.1PhotographOriginal or Electronic scanningCompulsory
12Signature of the holder
12.1SignatureOriginal/Photocopy/Electronic scanningCompulsory
13Permanent place of residence or postal address of the holder
13.1Address of the holderStreet and numberTextOptional
13.2TownTextOptional
13.3CountryTextOptional
13.4PostcodeAlpha-numerical codeOptional
13.5Telephone numberTextOptional
13.6e-mail addressTextOptional
14Additional information
14.1 F4Information imposed by the ORR in accordance with Schedule 2 to the Regulations or by the Department in accordance with Schedule 2 to the NI Regulations, as the case may be Coded informationCompulsory

Field 9.a.1 —

Native language(s) of the driver

Text

Field 9.a.2 —

Space reserved for F5additional information that may be considered necessary by the ORR or the Department, as the case may be

Text
15Medical restriction
15.1F6Information imposed by the ORR in accordance with Schedule 1 to the Regulations, or by the Department in accordance with Schedule 1 to the NI Regulations, as the case may beCoded informationCompulsory
Mandatory use of glasses/lenses(code b.1)
Mandatory use of hearing aid(s)(code b.2)

Section 3:

Historical information on the status of the licence and the results of periodic checks

16Date of first issues
16.1Date of first issueYYYY-MM-DDCompulsory
17Date of expiry
17.1Date of expiry (and of expected formal renewal)YYYY-MM-DDCompulsory
18 Update(s) (Several records are possible)
18.1Date of updateYYYY-MM-DDCompulsory
18.2Reason for updateTextCompulsory
19 Amendment(s) (Several records are possible)
19.1Date of amendmentYYYY-MM-DDCompulsory
19.2Reason of amendmentTextCompulsory
20 Suspension(s) (Several records are possible)
20.1Length of period of suspensionFrom (date) to (date)Compulsory
20.2Reason for suspensionTextCompulsory
21 Withdrawal(s) (Several records are possible)
21.1Date of withdrawalYYYY-MM-DDCompulsory
21.2Reason for withdrawalTextCompulsory
22Licence reported lost
22.1Date of communicationYYYY-MM-DDCompulsory
22.2Date of any duplicate issuedYYYY-MM-DDCompulsory
23Licence reported stolen
23.1Date of communicationYYYY-MM-DDCompulsory
23.2Date of any duplicate issuedYYYY-MM-DDCompulsory
24Licence reported destroyed
24.1Date of communicationYYYY-MM-DDCompulsory
24.2Date of any duplicate issuedYYYY-MM-DDCompulsory

Section 4:

Information on the basic requirements for issuing a licence and results of periodic checks

25Education
25.1Basic requirementHighest level of certification possessedTextCompulsory
26Physical fitness
26.1Basic requirementStatement on fulfilment of F7 in paragraphs 1(1), 1(2), 1(3) and 2(1) of Schedule 1 to the Regulations or paragraphs 1(1), 1(2), 1(3) and 2(1) of Schedule 1 to the NI Regulations, as the case may be TextCompulsory
26.2Date of checkYYYY-MM-DDCompulsory
26.3Subsequent periodic checkConfirmed/not confirmedTextCompulsory
26.4(several records possible)Date of last checkYYYY-MM-DDCompulsory
26.5Next checkDate of next formally expected checkYYYY-MM-DDCompulsory
26.6Notes

Notes to be specified:

  • Normal schedule,

  • Anticipated schedule (according to doctor’s certificate),

  • Change in information (code 9.a.2) if necessary,

  • Change in restriction code,

  • Other + field to specify,

TextCompulsory
27Occupational psychological fitness
27.1Basic requirementStatement on fulfilment of F8in paragraph 2(2) of Schedule 1 to the Regulations or paragraph 2(2) of Schedule 1 to the NI Regulations, as the case may be TextCompulsory
27.2Date of checkYYYY-MM-DDCompulsory
27.3Following check(s)Only if necessary (several records possible)StatementCompulsory
27.4Date of any subsequent checkYYYY-MM-DDCompulsory
28General professional knowledge
28.1Basic requirementStatement on fulfilment of F9in Schedule 3 to the Regulations or Schedule 3 to the NI Regulations, as the case may be TextCompulsory
28.2Date of checkYYYY-MM-DDCompulsory
28.3Subsequent check(only if required at national level)YYYY-MM-DDCompulsory

4Access rights

Access to the information contained in the NLR shall be granted to the following interested parties for the following purposes:

  • F1...

  • F2...

  • to any employer of drivers, for consulting the status of the licences in accordance with F3regulation 26 of the Regulations, or regulation 25 of the NI Regulations as the case may be,

  • to railway undertakings and infrastructure managers, employing or contracting train drivers, for consulting the status of licences, in accordance with regulation 26 of the Regulations, or regulation 25 of the NI Regulations as the case may be,

  • to train drivers, upon request, for consulting the data concerning them,

  • F4to the Rail Accident Investigation Branch for investigating accidents in accordance with the Railways and Transport Safety Act 2003 ,

5Data exchangeF1

Where in accordance with Chapter 4 (access rights), access to relevant data is required to be granted, it must be granted to persons having a right of access under that Chapter, upon request and without delay, in a manner which ensures secure transmission of information and protection of personal data.

In addition to the access rights granted under Chapter 4, each of the ORR and the Department may, at its discretion, grant access to information contained within the NLR to each other, the Intergovernmental Commission, a safety authority or an accident investigation body. Where such access is granted it must be in a manner which ensures secure transmission of information and protection of personal data.

The ORR and the Department may offer login facilities on their websites to all who have access, provided they ensure that grounds for requests are checked.

6Duration of data retention

All data in the NLR shall be kept for at least 10 years from the date of end of validity of the train driving licence. If at any time during the 10-year period an investigation involving the driver is started, data relating to the driver must be kept beyond the 10-year period if so required.

Any changes in the NLR shall be recorded.

1Basic parameters

The basic parameters for registers of complementary certificates (CCR), F1kept under regulation 25 of the Regulations or regulation 23 of the NI Regulations as the case may be, are:

  • Data to be collected (Chapter 2),

  • Data format (Chapter 3),

  • Access rights (Chapter 4),

  • Data exchange (Chapter 5),

  • Duration of data retention (Chapter 6),

  • Procedures in case of bankruptcy (Chapter 7),

2Data to be collected

CCRs shall comprise four sections.

Section 1 shall contain information about the current state of the licence owned by the train driver.

F1Section 2 shall contain information about the complementary certificate issued in line with the list of requirements in paragraph 3(a) to (n) of Schedule 2 to the Regulations or paragraph 3(a) to (q) of Schedule 2 to the NI Regulations as the case may be.

Section 3 shall contain historical information about the complementary certificate.

Section 4 shall contain information about basic requirements and initial checks to allow the complementary certificate to be issued and about subsequent checks to be recorded to allow the complementary certificate to remain valid.

The data to be collected are set out in the table in Chapter 3.

Information on current knowledge of rolling stock, knowledge of infrastructure and linguistic knowledge assessed in accordance with F2the relevant part of the Regulations or the NI Regulations, as the case may be shall be given in Section 2. That section shall include the date of the next expected checks. By the date of subsequent checks the new ‘current state’ will start, and previous information will be moved into Section 4, containing historical information.

3Data format

The following list shows the data format of the CCR.

The list is set out as follows:

NoDatum to be displayed
ContentFormatStatus of the requirement

Section 1:

Reference to the licence

1Licence number
1.1Number of the licence, giving access to data in the national register F1Number in digits Compulsory
2Current state of the licence
2.1

Evidence of the current state of the licence

  • Valid

  • Suspended

  • Withdrawn

TextCompulsory

Section 2:

Information about the current complementary certificate issued, F2as listed in paragraph 3 of Schedule 2 to the Regulations or paragraph 3 of Schedule 2 to the NI Regulations, as the case may be

3Surname(s) of the holder (the same of the licence)
3.1Surname(s) displayed on passport or national identity card or other recognised document proving identity. More surnames are allowed, depending on national customTextCompulsory
4Name(s) of the holder (the same of the licence)
4.1Name(s) displayed on passport or national identity card or other recognised document proving identity. More names are allowed, depending on national customTextCompulsory
5Date of birth of the holder
5.1Date of birth of the holderYYYY-MM-DDCompulsory
6Place of birth of the holder
6.1Place of birth of the holderTextCompulsory
7Date of issue of the certificate
7.1The current date of issue of the certificateYYYY-MM-DDCompulsory
8Date of expiry of the certificate
8.1Date of the expected formal expiry of the certificate, to be set by the company and included in the procedure required in F3in regulation 11 of the Regulations or regulation 11 of the NI Regulations, as the case may be .YYYY-MM-DDCompulsory
9Name of issuing entity
9.1Name of the entity issuing the certificate (railway undertaking, infrastructure manager, other)TextCompulsory
10Reference number assigned to the employee by the employer
10.1Company reference for the train driverTextOptional
11Photograph of the holder
11.1PhotographOriginal or Electronic scanningCompulsory
12Signature of the holder
12.1SignatureOriginal/Photocopy/Electronic scanningCompulsory
13Permanent place of residence or postal address of the holder
13.1Address of the holderStreet and numberTextOptional
13.2TownTextOptional
13.3CountryTextOptional
13.4PostcodeAlpha-numerical codeOptional
13.5Telephone number
13.6e-mail address
14Address of the railway undertaking or infrastructure manager for which the driver is authorised to drive
14.1Address of the RU/IMStreet and numberTextCompulsory
14.2TownTownCompulsory
14.3CountryTextCompulsory
14.4PostcodeAlpha-numerical codeCompulsory
14.5Contact personTextOptional
14.6Telephone numberTextCompulsory
14.7Fax numberTextCompulsory
14.8e-mail addressTextCompulsory
15Category in which the driver is authorised to drive
15.1Relevant code(s)TextCompulsory
16Rolling stock which the driver is authorised to drive
16.1(list, record to be repeated)TextCompulsory
16.2For each item the date of next expected check shall be addedYYYY-MM-DDCompulsory
17Infrastructure on which the driver is authorised to drive
17.1(list, record to be repeated)TextCompulsory
17.2For each item the date of next expected check shall be addedYYYY-MM-DDCompulsory
18Language skills
18.1(list, record to be repeated)TextCompulsory
18.2For each item the date of next expected check shall be addedYYYY-MM-DDCompulsory
19Additional information
19.1(list, record to be repeated)TextCompulsory
20Additional restrictions
20.1(list, record to be repeated)TextCompulsory

Section 3:

Historical records on the status of the complementary certificate

21Date of first issue
21.1Date of first issue of the certificateYYYY-MM-DDOptional
22 Update(s) (Several records are possible)
22.1Date of updateYYYY-MM-DDCompulsory
22.2Details of and reason for update (correction of one or more data displayed on the complementary certificate, e.g. personal address of the driver)TextCompulsory
23 Amendment(s) (Several records are possible)
23.1Date of amendmentYYYY-MM-DDCompulsory

Reason for amendments, referring to specific parts of the certificate:

  • amendments in field 3 ‘Categories of driving’

  • amendments in field 4 ‘Additional Information’

  • amendments in field 5: new linguistics knowledge acquired or knowledge periodically checked

  • amendments in field 6 ‘Restrictions’

  • amendments in column 7: new rolling stock knowledge acquired or knowledge periodically checked

  • amendments in column 8: new infrastructure knowledge acquired or knowledge periodically checked

TextCompulsory
24 Suspension(s) (Several records are possible)
24.1Length of period of suspensionFrom (date) to (date)Compulsory
24.2Reason for suspensionTextCompulsory
25 Withdrawal(s) (Several records are possible)
25.1Date of withdrawalYYYY-MM-DDCompulsory
25.2Reason for withdrawalTextCompulsory
26Certificate reported lost
26.1Date of communicationYYYY-MM-DDCompulsory
26.2If yes, date of issued duplicateYYYY-MM-DDCompulsory
27Certificate reported stolen
27.1Date of communicationYYYY-MM-DDCompulsory
27.2Date of any duplicate issuedYYYY-MM-DDCompulsory
28Certificate reported destroyed
28.1Date of communicationYYYY-MM-DDCompulsory
28.2Date of any duplicate issuedYYYY-MM-DDCompulsory

Section 4:

Historical records in connection with the basic requirements for issuing a complementary certificate and the results of periodic checks

29Linguistic competence
29.1Basic requirementWorking language(s) for which a statement that the criteria set out F4in paragraph 8 of Schedule 4 to the Regulations or in paragraph 8 of Schedule 4 of the NI Regulations, as the case may be had been fulfilled was issuedTextCompulsory
29.2Periodic check

Date of certified knowledge (exam passed) for each language.

Several records are possible.

YYYY-MM-DDCompulsory
30Rolling stock knowledge
30.1Basic requirementRolling stock for which a statement that the criteria set out F5in Schedule 5 to the Regulations or Schedule 5 to the NI Regulations, as the case may be had been fulfilled was issuedTextCompulsory
30.2Periodic check

Date of periodic check (certified knowledge)

Several records are possible.

YYYY-MM-DDCompulsory
31Infrastructure knowledge
31.1Basic requirementInfrastructure for which a statement that the criteria set out in Annex VI of Directive 2007/59/EC had been fulfilled was issuedTextCompulsory
31.2Periodic check

Date of periodic check (certified knowledge).

Several records are possible.

YYYY-MM-DDCompulsory

4Access rights

Access to the information contained in the CCR shall be granted to the following interested parties for the following purposes:

  • F1to the ORR for the purposes of regulations 27 or 28 of the Regulations, or to the Department for the purposes of regulations 26 or 27 of the NI Regulations, as the case may be,

  • F2...

  • F3to train drivers, upon request, for consulting the data concerning them,

  • F4to the Rail Accident Investigation Branch for investigating accidents in accordance with the Railways and Transport Safety Act 2003,

Companies shall be free to grant access to other users, subject to personal data protection.

5Data exchangeF1

Where, in accordance with Chapter 4 (Access rights), access to relevant data is required to be granted, it must be granted to the persons having a right of access under that Chapter, upon request and without delay, in a manner which ensures secure transmission of information and protection of personal data.

Railway undertakings and infrastructure managers may offer login facilities on their websites to all who have access, provided they ensure that the grounds for requests are checked.

6Duration of data retention

All data in the CCR shall be kept for at least 10 years from the last expiry date referred to on the certificate.

If at any time during the 10-year period an investigation involving the driver is started, data relating to the driver must be kept beyond the 10-year period if so required.

Any changes in the CCR shall be recorded.

7Procedure in case of bankruptcy

If a railway undertaking or infrastructure manager goes bankrupt, the new company that takes over the operation of the service shall be responsible for the data contained in the register of complementary certificates.

The F1ORR or the Department, as the case may be, according to where the railway undertaking or infrastructure manager is established, shall be the repository of data contained in the register of complementary certificates if the activity is not taken over by another company.