European Parliament legislative resolution on the proposal for a directive of the European Parliament and of the Council on the certification of train crews operating locomotives and trains on the Community's rail network (COM(2004)0142 – C6-0002/2004 – 2004/0048(COD))
(Codecision procedure: first reading)
The European Parliament
– having regard to the Commission proposal to the European Parliament and the Council (COM(2004)0142)(1)
– having regard to Articles 251(2) and 71 of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C6-0002/2004),
– having regard to Rule 51 of its Rules of Procedure,
– having regard to the report of the Committee on Transport and Tourism (A6-0133/2005),
1. Approves the Commission proposal as amended;
2. Calls on the Commission to refer the matter to Parliament again if it intends to amend the proposal substantially or replace it with another text;
3. Instructs its President to forward its position to the Council and Commission.
Position of the European Parliament adopted at first reading on 28 September 2005 with a view to the adoption of Directive
of the European Parliament and of the Council on the certification of
train drivers and
train crews operating locomotives and trains on the Community's rail network
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular Article 71 thereof,
Having regard to the proposal from the Commission,
Having regard to the opinion of the European Economic and Social Committee(1)
Having regard to the opinion of the Committee of the Regions(2)
Acting in accordance with the procedure laid down in Article 251 of the Treaty(3)
(1) Directive 2004/49/EC(4)requires
infrastructure managers and railway undertakings to establish their safety management systems
in such a way that the railway system is at least able to achieve the common safety objectives and comply with the national safety regulations and safety requirements defined in the Technical Specifications for Interoperability and that the relevant parts of the Joint Safety Methods are applied. These
safety management systems provide
, among other things, for staff training programmes and systems which ensure that staff competence is maintained and that duties are performed in the appropriate manner.
(2) Directive 2004/49/EC
provides that, to be able to gain access to railway infrastructure, a railway undertaking must hold a safety certificate.
(3) Under Council Directive 91/440/EEC of 29 July 1991 on the development of the Community's railways(5)
, licensed railway undertakings have, since 15 March 2003, a right of access to the trans-European freight network and, from 2008 at the latest, to the entire international freight services network. Furthermore, in the framework of the second railway package, it
is proposed to extend this right of access to the whole network for international rail freight services and for all types of rail freight services. This gradual extension of access rights will inevitably lead to an increase in cross-border rail freight traffic. The result will be a growing demand for drivers trained and certified for cross-border services.
(4) A study carried out by the Commission in 2002 highlighted the fact that the laws of the
Member States on the
certification conditions for train drivers differ considerably
. Community rules for the certification of train drivers need to be adopted to overcome these differences while maintaining the present high level of safety of the Community railway system.
(5) Such Community rules must also contribute to the aims of Community policies on the freedom of movement of workers, freedom of establishment and freedom to provide services in the context of the common transport policy, while avoiding any distortion of competition.
(6) To guarantee the necessary uniformity and transparency, the Community should establish a single certification model in two parts: the basic licence, attesting to compliance with certain requirements and basic fitness and competence to drive trains, and a harmonised complementary certificate attesting to technical knowledge and knowledge specific to the service. The Member States should be responsible for issuing the basic licence, and railway undertakings should be responsible for issuing the harmonised complementary certificate. These documents should be mutually recognised by the Member States.
(7)This Directive follows and is largely based on the "historic" agreements reached on 27 January 2004 between the social partners: the Community of European Railways (CER) and the European Transport Workers" Federation (ETF) on the "European licence for drivers carrying out a cross-border interoperability service" and on 'certain aspects of the working conditions of mobile staff engaged in cross-border services'(6)
common provisions on certification must make
it easier for train drivers to move from one Member State to another, but also from one railway undertaking to another, and generally for the licence and the harmonised complementary certificate to be recognised by all railway sector stakeholders, while promoting improved training and employment for the staff concerned
. To this end, it is essential that the provisions establish minimum requirements which applicants must meet to obtain the basic licence and the harmonised complementary certificate.
(9)In the context of the gradual opening of rail infrastructure and increased competition among railway undertakings, the training capital of train drivers should be preserved by guaranteeing the mutual recognition of their training so as to make it easier for them to find employment by introducing common standards.
(10) The requirements for obtaining licences and certificates should
cover at least the minimum age for driving a train, the applicant's medical
and psychological fitness, professional experience and knowledge of certain matters relating to driving a train, and a knowledge of the infrastructures on which drivers will be required to travel.
(11)The tasks and requirements defined in Annexes I to VI of this Directive may be revised to bring them into line with technical and scientific progress. As technical requirements, these annexes must be fully compatible with the Technical Specifications for Interoperability (TSIs) and must be revised in accordance with the procedures laid down by Directives 96/48/EC(7) and 2001/16/EC(8) on interoperability and in full compliance with Regulation (EC) No 881/2004(9), in particular Articles 3, 4, 6, 12 and 17 thereof on the role of the social partners.
(12) This Directive must not prejudice the implementation of Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data(10)
, nor of Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data(11)
(13) All of the information contained in the licence, the harmonised complementary certificate and the registers must be used by the national safety authorities to facilitate evaluation of the staff certification provided for in Articles 10 and 11 of Directive 2004/49/EC
and to speed up the issuing of the safety certificates provided for in the same articles.
(14) The measures necessary for the implementation of this Directive should be adopted in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission(12)
(15) Member States must provide for inspections and penalties appropriate to infringements of the national provisions for implementing this Directive.
(16) For rail transport to continue to operate effectively, train drivers who are already working in their profession before the entry into force of this Directive must retain their acquired rights during a transition period.
(17)The replacement of national rules on the certification of train drivers by the provisions of this Directive should be completed gradually and in such a way as to entail the least possible burden on railway undertakings and infrastructure managers. Those entities should, to that end, be called upon in particular to determine how experience acquired should be taken into account for the purposes of issuing licences and certificates under this Directive.
(18) Since a common regulatory framework for the certification of train drivers and
train crews operating locomotives and trains for the carriage of passengers and goods cannot be set up by the Member States, the Community may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Directive does not go beyond what is necessary in order to achieve these objectives,
HAVE ADOPTED THIS DIRECTIVE:
Subject matter, scope and definitions
This Directive lays down the conditions and procedures for the certification of train drivers and
train crews operating locomotives and trains on the Community's rail network. For this purpose, it also specifies the tasks for which the competent authorities of the Member States, the train drivers and other stakeholders in the sector, in particular the railway undertakings, infrastructure managers and training centres, are responsible.
The employment of train drivers and
train crews certified in accordance with this Directive shall not exonerate railway undertakings and infrastructure managers from their obligation to set up a system of monitoring and internal control of the competence and conduct of their train drivers and
train crews pursuant to Article 9 of and Annex III to Directive 2004/49/EC
. The certificate shall not relieve either the railway undertaking or the infrastructure manager of its responsibility as regards safety and, in particular, the training of its staff.
For the purposes of this Directive:
"competent authority" means the authority appointed by a
Member State to issue train drivers' licences
after establishing that applicants meet
the necessary requirements. This is the national safety authority set up under Article 16 of Directive 2004/49/EC
"train driver" means a person capable of driving trains, regularly or occasionally, including traction units, electric rail cars,
shunting locomotives and
work trains or trains for the carriage of passengers or goods by rail in an autonomous, responsible and safe manner. A train driver's duties are listed in Annex II to this Directive;
"train crew" means staff who are not train drivers but who are present
on the locomotive or train and who regularly or occasionally perform safety-related duties in and on the train
and whose professional qualifications accordingly contribute to traffic safety as regards both the train itself and its passengers and freight
"infrastructure manager" means any entity or undertaking responsible in particular for the establishment and maintenance of the railway infrastructure, or any part thereof, as defined in Article 3 of Directive 91/440/EEC;
"railway undertaking" means any public or private undertaking the business of which is to provide services for the carriage of goods and/or passengers by rail, with the requirement that the undertaking must ensure traction; this also includes undertakings which provide traction only;
"technical specifications for interoperability" or "TSIs" means the specifications adopted under Directives 96/48/EC and 2001/16/EC, which
must be complied with in order to ensure the interoperability of the trans-European rail system;
(g) "Agency" means the European Railway Agency established by Regulation (EC) No 881/2004
"safety certificate" means the certificate issued to a railway undertaking by the national safety authority in accordance with Article 10 of Directive 2004/49/EC
"safety authorisation" means the certificate issued to an infrastructure manager by the safety authority in accordance with Article 11 of Directive 2004/49/EC
"training centre" means a body accredited or recognised by a competent authority for the purpose of giving training courses.
The purpose of this Directive is the certification of train drivers and
train crews operating locomotives and trains on the Community's rail network for a railway undertaking requiring a safety certificate or an infrastructure manager requiring a safety authorisation.
Community certification model
1. All train drivers shall have the necessary fitness and qualifications to drive trains and shall hold the following documents:
a) a licence identifying the train
driver and the authority issuing the certificate and stating the duration of validity. The licence shall be the property of the train
driver and shall be issued, on application, to train drivers
the minimum requirements
as regards medical and psychological fitness, basic education and general professional skills. The licence shall comply with the requirements of Annex I;
b) a harmonised certificate stating that the holder has received additional training in the framework of the railway undertaking's safety management system or, in the case of train
drivers employed by the infrastructure manager, that of the latter, indicating the infrastructures on which the holder is authorised to drive and the rolling stock which the holder is authorised to drive. The harmonised certificate shall comply with the requirements of Annex I.
2. The harmonised complementary certificate shall authorise driving in either
of the following categories:
category A: shunting locomotives, work trains and maintenance railway vehicles
category B: carriage of passengers and/or goods.
3. With regard to the licence referred to in paragraph 1(a), the
general system for the recognition of professional qualifications established by Council Directive 92/51/EEC(13)
, shall still apply to the recognition of the professional qualifications of train
drivers who are nationals of a Member State and have obtained their training certificate in a third country. Train drivers
whose professional qualifications are recognised on this basis shall have to be issued certificates in accordance with this Directive.
1. The licence referred to in Article 4(1)(a) shall be issued by the competent authority referred to in Article 2(a). The competent authority may delegate this task only under the terms provided for in Article 17.
2. The harmonised certificate referred to in Article 4(1)(b) shall be issued by the railway undertaking which employs the train
driver or, where appropriate, by the infrastructure manager.
1. Once train
drivers have the licence and the harmonised complementary certificate issued in accordance with this Directive, they may drive trains provided that the railway undertaking or the infrastructure manager responsible for the transport in question has a safety certificate or a safety authorisation, and only on the network covered both by the harmonised complementary certificate and by the safety certificate, or the safety authorisation.
2. Licences issued by a Member State in accordance with this Directive shall be mutually recognised by the other Member States.
Conditions and procedure for obtaining the licence and the harmonised complementary certificate
To obtain the licence, applicants shall satisfy the minimum requirements set out in Articles 8, 9 and 11(1) and (2).
To obtain the harmonised complementary certificate, applicants shall hold a licence and satisfy the minimum requirements set out in Articles 10 and 11(1), (3) and (4).
Without prejudice to Article 6, a Member State may apply more stringent requirements
with regard to the issuing of licences on its own territory.
Applicants shall be at least 20 years of age. However, Member States may issue licences to applicants
from the age of 18 years, the validity of such a licence then being limited to the territory of the issuing Member State.
Training and basic skills
1. Applicants shall have received basic training equivalent to level 3 as referred to in Council Decision 85/368/EEC of 16 July 1985 on the comparability of vocational training qualifications between the Member States of the European Community(14)
and satisfy the requirements laid down in Annex III.
2. Applicants shall provide confirmation of their physical and mental fitness by passing a medical examination conducted by a medical doctor recognised by the competent authority. The examination must cover at least the criteria indicated in Annex III, points 2.1 and 4.
3. Applicants shall demonstrate their psychological fitness by passing an examination conducted or supervised
by a psychologist or doctor
recognised by the competent authority. The examination shall cover at least the criteria indicated in Annex III, point 2.2.
4. The basic linguistic knowledge criterion referred to in Annex III, point 5, shall be met and shall be checked whenever train
drivers have to travel on new infrastructures involving new linguistic requirements.
Without prejudice to Article 6, a Member State may, on its territory, require applicants to provide evidence of at least two years' professional experience in category A, as referred to in Article 4(2)(a), before they are able to move on to category B
Without prejudice to Article 6, at least three years" professional experience in category B (as referred to in Article 4(2)(b)) shall be required in order to move on to a cross-border transport service.
1. Applicants shall have undergone a full programme of training as described in Annex IV, point 1, which consists of a part relating to the licence and a part relating to the harmonised complementary certificate. The training method shall satisfy the criteria in Annex IV, points 2 and 3.
2. Applicants shall have passed an examination testing their general knowledge of their profession; this examination shall cover at least the general subjects listed in Annex V.
3. Applicants shall have passed an examination testing their professional knowledge relating to the rolling stock for which the harmonised complementary certificate is being applied for; this examination shall include at least the general subjects listed in Annex VI.
4. Applicants shall have passed an examination testing their professional knowledge relating to the infrastructures for which the harmonised certificate is being applied for. This examination shall cover at least the general subjects listed in Annex VII. Where appropriate, the examination shall also cover linguistic knowledge in accordance with Article 9(4).
Application for the licence
1. The competent authority shall publish the procedure to be followed for obtaining a licence, together with the necessary forms.
2. All licence applications shall be lodged with the competent authority by the candidate train
driver's employer or by the candidate train
3. Applications submitted to the competent authority may concern:
the granting of a new licence: this may be a matter of a novice train
driver or a person who was already a train
driver before this Directive entered into force, or a request for a duplicate;
an update: one or more of the licence particulars have changed and must be updated.
Granting of the licence
The competent authority shall issue the licence no later than three weeks after receiving all the necessary documents.
The licence shall be in the official language(s) of the Member State issuing it. The licence must be renewed every five years.
The licence shall be the property of the train
driver and shall be issued in a single original. Any reproduction of the licence, other than by the competent authority in the case of a request for a duplicate, shall be prohibited.
Minimum monitoring requirements
1. In order to keep the licence and the harmonised certificate, holders shall undergo periodic examinations and/or tests relating to the requirements
referred to in Articles 9 and 11. The following minimum frequency shall be observed:
medical examinations (physical and mental fitness): every three years up to the age of 55
, thereafter every year;
knowledge of infrastructure (including routes and operating rules)
: every two years or after any absence from the route concerned of more than one year
knowledge of rolling stock: every two years;
updating of general professional knowledge and knowledge of traffic and safety provisions by way of continuing training: every year.
For each of these periodic
checks the railway undertaking shall affirm by a statement in the harmonised certificate and in the register provided for in Article 20 that the train
driver has met these requirements.
2. For the purpose of maintaining the harmonised complementary certificate, railway undertakings and infrastructure managers shall, in the context of their safety management systems set up pursuant to Article 9 of Directive 2004/49/EC, adopt measures (such as driving under supervision) and lay down periods of validity regarding skills relating to rolling stock, lines and - where necessary - languages so that train drivers do not use the lines and/or vehicles covered by their harmonised complementary certificates beyond those periods.
Cessation of employment
When a train
driver ceases to be employed by a railway undertaking or infrastructure manager
, it shall inform the competent authority without delay.
The licence shall remain valid without prejudice to Article 14.
The harmonised complementary certificate shall become invalid on cessation of employment. Nevertheless, in accordance with Article 20(2), the railway undertaking concerned shall be required to keep a record of that certificate in its register. Train drivers shall keep a certified copy of the harmonised complementary certificate which they hold.
They may submit this certificate to any new railway undertaking or infrastructure manager so that it can adapt its training with a view to issuing a fresh harmonised complementary certificate.
Amendments and withdrawals
1. If there is any change in a train
driver's state of health likely to call into question their fitness for the job and the continuation of their licence or harmonised complementary certificate, the employer or the train
driver, as appropriate, shall inform the competent authority without delay
2. If the competent authority finds or is informed
that a train
driver no longer satisfies one or more requirements
, it shall immediately withdraw the licence and immediately
inform the party concerned and their employer of its reasoned decision, without prejudice to the right of appeal provided for in Article 19. The suspension shall be temporary or permanent depending on the scale of the problems created for rail safety. The competent authority shall update the register provided for in Article 20. As soon as it is informed, the employer shall withdraw the harmonised certificate, either temporarily or permanently, depending on the reasons given by the competent authority. The employer shall update the register provided for in Article 20.
If an employer finds that a train driver no longer satisfies one or more requirements, it shall immediately withdraw the harmonised certificate and immediately inform the party concerned and the competent authority of its reasoned decision. The employer shall update the register provided for in Article 20.
3.Member States shall ensure that in cases where a licence or harmonised complementary certificate is withdrawn provision is made for an independent assessment and, where appropriate, reinstatement procedure. The employee concerned may request this procedure.
4. Member States shall take all the necessary steps to avoid the risks of falsification of certificates and tampering with the register provided for in Article 20. Employers shall be required to ensure and to check that the licences and complementary certificates of their train
drivers in service are valid.
Tasks and decisions of the competent authority
Tasks of the competent authority
1. The competent authority shall fulfil its tasks in a transparent and non-discriminatory manner.
It shall respond quickly to requests for information and present any requests for additional information without delay during the preparation of the licences.
2.The tasks of competent authority shall include:
issuing licences following checks that all the conditions laid down in this Directive have been met, on the basis of the requisite documents submitted by applicants;
authorising and verifying safety management systems, in accordance with Directive 2004/49/EC;
key inspection tasks;
guaranteeing the quality and objectivity of training and examination procedures.
3. The competent authority may delegate or subcontract the tasks referred to in paragraph 5
to third parties provided that such tasks can be carried out by the authorised representative or subcontractor without any conflict of interest.
Tasks shall be delegated in a transparent and non-discriminatory manner.
4. When the competent authority delegates or subcontracts tasks to a railway undertaking, at least one of the following two conditions shall be complied with:
the railway undertaking shall issue licences only to its own train
the railway undertaking shall not enjoy exclusivity in the territory concerned for any of the delegated or subcontracted tasks.
5. The tasks referred to in (a) to (e) may be delegated subject to the conditions attached to them:
the testing of physical and mental fitness shall be carried out by occupational physicians
or occupational health institutes accredited by the competent authority;
the testing of psychological fitness shall be carried out by psychologists, transport psychologists
or occupational psychology institutes accredited by the competent authority;
the testing of general professional knowledge shall be carried out by institutes and
examiners which are both
accredited by the competent authority;
the granting of new licences and the updating of licences may be delegated to third parties accredited by the competent authority;
the tasks relating to the keeping of the register referred to in Article 20 may be delegated to third parties appointed by the competent authority.
6. When a competent authority delegates or subcontracts tasks, the authorised representative or subcontractor shall be required, in performing such tasks, to comply with the obligations imposed on the competent authorities by this Directive.
7. When a competent authority delegates or subcontracts tasks, it shall set up a system for checking whether these tasks have been carried out, which will enable it to make sure that the conditions laid down in paragraphs 3
are being complied with.
8. The testing of professional knowledge relating to the rolling stock and infrastructures shall be carried out by the railway undertaking.
Tasks may be delegated under Article 17 only to persons or bodies already accredited by the competent authority or by an accreditation body appointed by the Member State. The accreditation process shall be based on the criteria of competence, independence, impartiality and absence of any conflict of interest
and on the evaluation of a dossier submitted by candidates which provides appropriate evidence of their skills in the area in question.
The Member State shall ensure publication and updating of
a register of persons and bodies accredited under this Directive.
Without prejudice to paragraph 1, a Member State may stipulate that a person or body recognised under this Directive must be recognised by the competent authority or a body designated by the Member State. Recognition shall be based on criteria of independence, skill, and impartiality. However, where a very rare special skill is involved, an exception may be made to that rule subject to a favourable opinion delivered by the Commission in accordance with the procedure provided for in Article 31.
Decisions of the competent authority
1. The competent authority shall state the reasons for its decisions.
2. The competent authority shall set up an administrative appeals procedure allowing employers and train
drivers to request a review of a decision relating to any application as referred to in Article 12 or any withdrawal as referred to in Article 16(2).
3. Member States shall take the necessary steps to ensure juridical review
of the decisions taken by a competent authority.
Registers and exchange of information
1. The competent authorities shall be required to:
keep a register of all licences issued, expiring, amended, suspended, cancelled or reported lost or destroyed. This register shall contain the particulars of every licence, which can be called up using the national number allotted to each train
driver. It shall be regularly updated;
supply information on the status of such licences to the competent authorities of the other Member States, the Agency or any employer of train
drivers who wishes to know or to check certain particulars during a recruitment procedure.
2. The railway undertakings shall be required to:
keep a register of all harmonised complementary certificates issued, expiring, amended, suspended, cancelled or reported lost or destroyed. This register shall contain the particulars of every certificate, as well as the particulars relating to the periodic checks provided for in Article 14. It shall be regularly updated;
cooperate with the competent authority of the State where they are domiciled in order to interconnect its register with that of the competent authority so as to give it immediate access to the particulars required;
supply information on the status of such certificates to the competent authorities of the other Member States.
3. The competent authorities shall cooperate with the Agency in order to ensure the interoperability of the registers. To this end the Commission shall adopt, in accordance with
the procedure referred to in Article 31(2)
, and on the basis of a draft prepared by the Agency, the basic parameters of the registers to be set up, such as the particulars to be recorded, their format and the data exchange protocol.
4. The competent authorities shall make sure that the registers which they set up under paragraph 1 and the modes of operation of such registers comply with Directive 95/46/EC.
5. The Agency shall make sure that the system set up under paragraph 2(a) and (b) complies with Regulation (EC) No 45/2001.
6.Train drivers must have access at all times to the data concerning them stored in the registers of competent authorities and of railway undertakings and must be provided with a copy of that data on request.
1. The procedure to be followed with a view to obtaining the licence provided for in Article 12(1) shall include the training programme needed to comply with the professional qualification requirements referred to in Article 11.
The objectives of this training are defined in Annex V. They may be supplemented:
a) either by the relevant technical specifications for interoperability;
b) or by the criteria proposed by the Agency pursuant to Article 17 of Regulation (EC) No 881/2004
and adopted by the Commission in accordance with the procedure referred to in Article 31(2).
2. The procedure to be followed to obtain the harmonised certificate is specific to each railway undertaking. The objectives of the training programme are set out in Article 11 and, more particularly, in Annexes VI and VII.
3. Pursuant to Article 13 of Directive 2004/49/EC
, Member States shall take steps to ensure that train
drivers have fair and non-discriminatory access to the training needed to fulfil the conditions for obtaining the licence and the complementary harmonised certificate.
Financing of training
Railway undertakings and infrastructure managers shall be contractually responsible for professional training, both basic training and in-service training.
A railway undertaking or infrastructure manager employing a train driver whose training has been funded in whole or in part by another railway undertaking or infrastructure manager which the train driver has left voluntarily after less than five years' employment shall refund to that undertaking or infrastructure manager the cost of that training.
The detailed rules for implementing this provision shall be established on the basis of a recommendation drawn up by the Agency in the framework of Article 17 of Regulation (EC) No 881/2004.
The examinations and examiners intended for the purpose of checking the requisite professional qualifications shall be determined when laying down the procedure to be followed to obtain the licence provided for in Article 12(1) and the harmonised complementary certificate. These examinations shall be overseen by selection boards made up of examiners who are competent, independent, impartial and free from any conflict of interest. Examiners checking the competences required for a licence shall be accredited in accordance with Article 18
The choice of examiners and examinations shall be governed by Community criteria proposed by the Agency and adopted by the Commission under the procedure laid down in Article 31(2)
. In the absence of such Community criteria, the competent authorities shall establish national criteria.
The competent authorities shall ensure that all tasks associated with training, assessment of skills, updating of licences and complementary certificates are the subject of continuous monitoring under a quality standards system designed to guarantee the achievement of the objectives set out in this Directive with regard to basic requirements and professional qualifications.
1. An independent assessment of the procedures for the acquisition and assessment of knowledge, understanding, skills and competence, and of the system for the issuing of licences and harmonised complementary certificates, shall be carried out in each Member State at intervals of not more than five years. The assessment shall be carried out by qualified persons who are not themselves involved in the activities concerned.
2. The results of these independent assessments shall be duly documented and brought to the attention of the competent authorities concerned. If need be, Member States shall take appropriate measures to remedy any shortcomings brought to light by the independent assessment.
Provisions applicable to train crews
All members of the train crew
shall be in possession of a certificate issued by a
competent authority in accordance with the provisions of this Article.
By 1 January 2009, the Agency shall consider the profiles and tasks of train crew members in the light of their respective effects on transport safety. The Agency shall, in the framework of Article 17 of Regulation (EC) No 881/2004, draw up recommendations concerning the certification of train crews consistent with this Directive and with uniform European qualification standards.
On the basis of these recommendations, the Commission shall adopt a certification scheme for train crews in accordance with the procedure referred to in Article 31(2). Once adopted, the scheme shall become an integral part of this Directive and shall be set out in an annex to it.
Until the scheme is adopted, the relevant TSIs adopted pursuant to Directives 96/48/EC and 2001/16/EC shall apply to train crews.
In the absence of such Community rules, the competent authorities
shall establish and publish the minimum requirements to be met.
Inspections and penalties
1. The competent authority may at any time take steps to verify, on board trains operating in its area of jurisdiction, that the driving personnel are in possession of the documents issued pursuant to this Directive.
2. Notwithstanding verification as provided for in paragraph 1, train
drivers may be required to demonstrate their competence in the event of negligence at the workplace. Such a demonstration may consist, in the main, in verifying compliance with the requirements set out in Article 11(3) and (4).
3. The competent authority may carry out administrative enquiries regarding compliance with this Directive by train
drivers, railway undertakings, infrastructure managers, assessors and training centres pursuing their activities in their areas of jurisdiction.
4. If a competent authority considers that a licence issued by a competent authority in another Member State fails to comply with the relevant criteria, it may approach that authority and request either that a further inspection be carried out or that the licence be withdrawn. The authority that issued the licence in question shall undertake to examine the request within three weeks and to notify the other authority of its decision.
5. If a competent authority considers that a complementary certificate fails to comply with the relevant criteria, it may approach the railway undertaking and request either that a further inspection be carried out or that the complementary certificate be withdrawn.
6. If a Member State considers that a decision taken by a competent authority in another Member State pursuant to paragraph 4 fails to comply with the relevant criteria, the matter shall be referred to the Commission which shall deliver its opinion within three months. If necessary, corrective measures shall be proposed to the Member State concerned. In the event of disagreement or dispute, the matter shall be referred to the Committee mentioned in Article 31(1)
, and the Commission shall take whatever measures are necessary in accordance with the procedure referred to
in Article 31(2)
The Member States shall lay down the rules on penalties applicable to infringements of the national provisions adopted pursuant to this Directive and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate, non-discriminatory and dissuasive. The Member States shall notify the Commission of those provisions by the date specified in Article 34
at the latest and shall notify it without delay of any subsequent amendment affecting them.
Member States may exclude from the measures they adopt in implementation of this Directive:
metros, trams and other light rail systems;
networks that are operationally separate from the rest of the rail system and are intended only for the operation of local, urban or suburban passenger services and undertakings operating solely on those networks;
privately owned railway infrastructure that exists solely for use by the infrastructure owners for their own freight operations;
sections of track that are closed to normal traffic for the purpose of maintaining, renewing or upgrading railway systems.
Amendments to the annexes
The Annexes shall be adapted to scientific and technical progress, in accordance with the procedure referred to in Article 31(2), whilst fully respecting the procedures and powers conferred by Regulation (EC) No 881/2004, in particular Articles 3, 4, 6, 12 and 17 thereof
The social partners shall be involved in this adaptation process in the context of the sectoral dialogue committee established by Decision 98/500/EC (15)
1. The Commission shall be assisted by the Committee set up by Article 21 of Directive 96/48/EC
2. Where reference is made to this paragraph, the regulatory procedure laid down in Articles 5 and 7 of Decision 1999/468/EC shall apply, in compliance with Article 8 thereof.
The period provided for in Article 5(6) of Decision 1999/468/EC shall be three months.
3. The Committee shall adopt its rules of procedure.
The Agency shall evaluate the development of the certification of train drivers in accordance with this Directive and other developments in the Member States concerning the management of the competence of train drivers
. It shall submit to the Commission, not later than 1 January 2009
, a report containing, where appropriate, improvements to be made to the system as regards the procedures for issuing licences and harmonised complementary certificates, the accreditation of training centres and assessors, the quality system put in place by the competent authorities, the mutual recognition of certificates and mobility in the employment market.
The Commission shall take appropriate measures on the basis of these recommendations and shall propose, if necessary, changes to this Directive.
Member States shall assist one another in the implementation of this Directive.
1. Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 31 December 2006
at the latest. They shall forthwith inform
the Commission thereof
When Member States adopt those provisions, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.
2. Member States shall communicate to the Commission the text of the essential provisions of national law which they adopt in the field covered by this Directive, together with a table showing how the provisions of this Directive correspond to the national provisions adopted
1. This Directive shall be phased in gradually in stages as indicated below.
During the first stage (2006-2008), Member States shall transpose this Directive into national law. The registers mentioned in Article 20 shall be set up.
With effect from 1 January 2007
, an initial group of train
drivers shall be certified in accordance with this Directive; the group in question shall consist of train
drivers who drive locomotives and trains for which the right of access to the Community's rail network derives from Directive 91/440/EEC or who drive passenger trains operated pursuant to cross-border cooperation arrangements concluded between undertakings
With effect from 1 January 2009 and in accordance with the certification scheme to be adopted by the Commission in accordance with Article 26, train crew members shall be certified in accordance with this Directive.
With effect from 1 January 2010, all other train drivers shall be certified in accordance with this Directive.
2.At the request of any Member State, the Commission shall ask the Agency to carry out, in consultation with the Member State so requesting, a cost / benefit analysis of the application of this Directive to train drivers and train crews operating exclusively on the territory of that Member State. The cost / benefit analysis shall cover a period of 10 years and shall be submitted to the Commission by the end of the stage mentioned in paragraph 1(a).
If the cost / benefit analysis shows that the costs of applying this Directive to such train drivers and train crews outweigh the benefits, the Commission shall, in accordance with the procedure referred to in Article 31(2), adopt a decision within 6 months of submission of the cost / benefit analysis. That decision may exempt such train drivers and train crews from the application of paragraph 1(c) and (d) for up to 10 years.
3. A transition period shall be established, being
the period commencing on the date of entry into force of this Directive and ending two years following the Decision on the basic parameters contained in the registers, as provided for in Article 20. During the transition period, Member States may certify train
drivers in accordance with the provisions which applied prior to the entry into force of this Directive in the case of train
drivers who were working in their profession or who started an approved education and training programme or an approved training course prior to the entry into force of this Directive.
. Member States shall replace, before 2015, all certificates issued prior to the entry into force of this Directive and during the above transition period by licences and harmonised complementary certificates in conformity with this Directive, without prejudice to paragraph 2
. All train
drivers duly certified in accordance with the provisions which applied prior to the entry into force of this Directive may continue to pursue their professional activities until 2010 in the case of cross-border services, and until 2015 in other cases. This Directive does not confer any mutual recognition rights on the relevant certificates, albeit without prejudice to the general mutual recognition scheme set up under Directive 92/51/EEC
which shall continue to apply until the end of the transition period.
Agency may at any time
examine the possibility of using a smartcard instead of the licence and harmonised complementary certificate provided for in Article 4. Such a smartcard would have the advantage of combining these two items in one and at the same time could be used for other applications either in the area of security or for train
driver management purposes. Where appropriate, the Commission shall adopt, in accordance with the procedure referred to
in Article 31(2)
and on the basis of a draft prepared by the Agency, the technical and operating specifications for such a smartcard.
Entry into force
This Directive shall enter in force on the day following that of its publication in the Official Journal of the European Communities.
This Directive is addressed to the Member States.
Done at Strasbourg,
For the European Parliament For the Council
The President The President
COMMUNITY MODEL LICENCE AND COMPLEMENTARY CERTIFICATE
1. Characteristics of the licence
The physical characteristics of the train driver's licence must be in conformity with ISO standards 7810 and 7816-1.
The methods for verifying the characteristics of the driving licences to ensure that they are consistent with international standards must comply with ISO standard 10373.
2. Contents of the licence
The front of the licence shall contain:
the words "Train driver's licence" printed in large type in the language or languages of the Member State issuing the licence;
the name of the Member State issuing the licence (optional);
the distinguishing sign of the Member State issuing the licence in accordance with the country's ISO 3166 code, printed in negative in a blue rectangle and encircled by 12 yellow stars;
information specific to the certificate issued, numbered as follows:
the surname of the holder;
other name(s) of the holder;
the date and place of birth of the holder;
a. the date of issue of the licence;
the date of expiry of the licence;
the name of the issuing authority;
the number of the certificate giving access to data in the national register;
a photograph of the holder;
the signature of the holder;
the permanent place of residence or postal address of the holder (optional);
the words "European Communities model" in the language or languages of the Member State issuing the licence and the words "Train driving licence" in the other languages of the Community, printed in yellow to form the background of the licence;
the reference colours:
blue: Pantone Reflex blue,
yellow: Pantone yellow.
3. Harmonised complementary certificate
The harmonised complementary certificate shall contain:
the name and address of the railway undertakings for which the train
driver is authorised to drive trains;
the categories in which the holder is entitled to drive;
the type of rolling stock which the holder is authorised to drive;
the infrastructure on which the holder is authorised to drive;
any additional information or restrictions.
4. Data contained in national registers
Data relating to the licence:
14. Data relating to checking the requirements set out in Article 8;
15. Data relating to checking the requirements set out in Article 9;
16. Data relating to checking the requirements set out in Article 10;
17. Data relating to checking the requirements set out in Article 11(1) and (2);
18. Data relating to periodic checks – Article 14.
Data relating to the harmonised complementary certificate:
19. Data relating to the railway undertaking (authorised rolling stock – Article 11(3), authorised services, training relating to the safety management system);
20. Data relating to checking the requirements set out in Article 11(4): authorised infrastructure (refer to the register of infrastructure provided for in Article 24 of Directives 96/48/EC and 2001/16/EC);
21. Data relating to periodic checks – Article 14.
Duties of train drivers
1. Before departure, carrying out the prescribed checks in particular in relation to the functioning and load capacity of the vehicle.
2. Helping to check the effectiveness of the brakes.
3. Driving locomotives in a proper and safe manner with due regard to signals, speed limits and schedules.
4. Operating the safety deadman circuit and the train controlling system, and observing and operating instruments.
5. Recognising and identifying technical and operational faults and unusual incidents in good time, and, when required, inspecting carriages and wagons for damage and defects, protecting the train and summoning assistance.
6. Rectifying minor faults and taking steps to initiate repair work in the event of more serious faults to vehicles.
7. Shunting the train safely.
8. Dealing with routine records and submitting concise written, oral or computerised reports on unusual incidents.
at least nine years" secondary education, followed by two to three years" post-secondary education in technical professions or in an apprenticeship or in commercial professions, or
at least 12 years" education.
2. Minimum content of the examination before appointment
2.1 Medical examinations
a general medical examination;
examinations of sensory functions (vision, hearing, colour perception);
blood or urine tests to detect diabetes mellitus and other conditions as indicated by the clinical examination;
- an ECG at rest;
tests for illegal drugs.
2.2 Psychological examinations
The purpose of the psychological examinations is to assist the railway undertaking in the appointment and management of staff who have the cognitive, psychomotor, behavioural and personality skills to perform their duties safely.
In determining the content of the psychological examination, the psychologist must, as a minimum, take into account the following criteria which are relevant to the requirements of each safety function:
Cognitive: attention and concentration; memory; perception; reasoning; communication;
Psychomotor: reaction time, hand coordination;
Behavioural and personality: emotional self-control, behavioural reliability, autonomy, conscientiousness. If the psychologist omits any of the above criteria, this decision must be justified and documented.
3. Periodic examinations after appointment
In addition to the frequency indicated in Article 14(1), the occupational physician must increase the frequency of examinations if the health of the member of staff so requires.
3.1 Minimum content of the periodic medical examination after appointment
If the worker complies with the criteria required for the examination which is carried out before appointment, the specialised periodic examinations must include as a minimum:
a general medical examination;
an examination of sensory functions (vision, hearing, colour perception);
blood or urine tests to detect diabetes mellitus and other conditions as indicated by the clinical examination;
tests for illegal drugs where clinically indicated.
In addition, an ECG at rest is also required for train drivers over 40 years of age.
3.2 Validation of physical fitness
Physical fitness shall be checked regularly and after any occupational accident or any period of leave following an accident involving persons
. The occupational physician or the medical service of the undertaking can decide to carry out an additional medical examination, particularly after a period of 30 days" sick leave. The employer can ask the accredited
physician to check the physical fitness of the train
driver if the employer had to withdraw the train
driver from service for safety reasons.
At no time during their service must train
drivers be under the influence of any substance which is likely to affect their concentration, attention or behaviour.
4. Medical requirements
4.1 General requirements
Staff must not be suffering from any medical conditions or be taking any medication which is likely to cause:
a sudden loss of consciousness;
a reduction in attention or concentration;
a loss of balance or coordination;
significant limitation of mobility.
The following requirements as regards vision must be complied with:
aided or unaided distance visual acuity: 0.8; minimum of 0.3 for the worst eye;
maximum corrective contact lenses: hypermetropia +5 / myopia –8. Derogations are authorised in exceptional cases and after having obtained the opinion of an eye specialist. The occupational physician then takes the decision;
near and intermediate vision: sufficient, whether aided or unaided;
contact lenses are authorised;
normal colour vision: use of a recognised test, such as Ishihara, as well as another recognised test if required;
field of vision: full;
vision for both eyes: effective;
binocular vision: effective;
sensitivity to contrasts: good;
no progressive eye diseases;
lens implants, keratotomies and keratectomies are allowed only on condition that they are checked on a yearly basis or at intervals set by the occupational physician.
4.3 Hearing requirements
Sufficient hearing confirmed by an audiogram, i.e.:
hearing good enough to hold a phone conversation and to be able to hear warning sounds and radio messages.
The following values should be taken as guidelines:
the hearing deficiency must not be higher than 40 dB at 500 and 1 000 Hz;
the hearing deficiency must not be higher than 45 dB at 2 000 Hz for the ear with the worst air conduction of sound.
In the event of poor tolerance or a pathological condition, pregnancy must be considered to be a reason for the temporary exclusion of train
drivers. The occupational physician (as defined above) must ensure that the legal provisions protecting pregnant workers are applied.
4.5 Special health criteria for
aided or unaided distance visual acuity: 1.2; at least 0.5 for the worst eye;
ability to withstand dazzle;
coloured contact lenses and photochromatic lenses are not allowed. UV filter lenses are allowed.
4.5.2 Hearing and speaking requirements
no anomaly of the vestibular system.
no chronic speech disorder (given the necessity to exchange messages loudly and clearly);
no use of hearing aids.
Staff responsible for controlling rail traffic must be able to use the messages and communication method described in the "Operations" TSI.
and other staff of railway undertakings who have to communicate with the infrastructure manager on critical safety issues must have language skills in the language indicated by the infrastructure manager concerned. Their language skills must be such that they can communicate actively and effectively in routine, adverse and emergency situations.
General programme and training method
The content and organisation of the training courses must cover:
an introduction to the railway undertaking and the post concerned, including first aid and health and safety at work;
operational rules, traffic safety regulations;
engineering (railway infrastructure and rolling stock) with emphasis on signalling, braking systems and train control systems, train preparation and fault detection and repairs. Decision-making about the fitness for service of the locomotive;
communication; training in loudspeaker usage as part of customer service;
acquisition of driving skills: accompanying an experienced train
driver, driving under supervision, simulator, independent driving;
local conditions and route knowledge acquisition; this training may take place after qualifying when the train driver is assigned to a particular area of duty;
incidents and abnormal situations: coping under stress and in conflict situations;
The skills required are divided into three parts:
The 'general' part, details of which are given in Annex V;
The part relating to rolling stock, details of which are given in Annex VI;
The part relating to infrastructure, details of which are given in Annex VII.
2. Training method
There should be a good balance between theoretical training (classroom and demonstrations) and practical training (on-the-job experience, driving with and without supervision).
Computer-aided training is accepted for individual learning of the operational rules, signalling situations, etc. However, simulators of the latest generation should be used.
The use of simulators may be useful for the effective training of train
drivers; they are particularly useful for reducing the driving time on the infrastructure, training to deal with abnormal situations and further training on new types of locomotives.
Concerning the acquisition of route knowledge, the approach to be favoured is where the train driver accompanies another train
driver for a number of journeys along the route, both in daylight and at night. Videos of the routes as seen from the driver's cab can be used as an alternative training method.
There must be theoretical and practical examinations at the end of the training course.
Assessment of driving ability is normally made in driving tests on the network. Simulators may also be used for examining the application of operational rules and the train
driver's performance in particularly difficult situations.
EXAMINATION ON GENERAL PROFESSIONAL KNOWLEDGE
The general training has the following objectives:
acquiring the knowledge and procedures regarding of railway technologies, including safety and operational regulations,
acquiring knowledge and procedures regarding the risks related to railway operation and the various means to be used to combat them,
acquiring knowledge and procedures regarding one or more railway operating modes,
acquiring knowledge and procedures regarding one or more types of rolling stock.
In particular, train
drivers must be able to:
understand the specific requirements for working in the profession of train
driver, its importance, and the professional and personal demands (long periods of work, being away from home, etc),
apply staff safety rules,
identify traction units,
know and apply a working method in a precise manner,
identify the reference and applications documents (manual of procedures and manual of lines as defined in the 'Operations' TSI, driver's manual, breakdown manual, etc),
adopt a lifestyle which is compatible with the profession of a safety operative,
identify the procedures applicable to accidents involving persons,
distinguish the hazards involved in railway operations in general,
know the principles governing traffic safety,
apply the principles of electrotechnology.
EXAMINATION OF PROFESSIONAL KNOWLEDGE OF ROLLING STOCK
After completing specific training on rolling stock, train
drivers must be able to carry out the following tasks.
1. Tests and checks prior to departure
must be able to:
perform a route check and consult the relevant documents,
collect the documentation and the necessary equipment,
check the capacities of the traction unit,
check the information entered in the documents on board the traction unit,
ensure, by performing the checks and tests specified, that the traction unit is capable of providing the required traction power, and that the safety equipment is operating,
perform any routine preventive maintenance operations.
2. Knowledge of rolling stock
To operate a locomotive, train
drivers must be familiar with all the controls and indicators placed at their disposal, in particular those concerning:
traffic safety-related elements.
In order to detect and locate anomalies in the rolling stock, report them and determine what is required to repair them, and in certain cases, to take action, train
drivers must be familiar with(16)
the constituent parts of the rolling stock. their purpose, and the devices specific to the hauled stocks, in particular the system of stopping the train by venting the brake pipe,
the meaning of markings on the inside and outside of the rolling stock, in particular the symbols used for the transportation of dangerous goods,
check, before departure, that the train's actual braking power corresponds to the braking power required for the line as specified in the vehicle documents,
check the functioning of the traction unit's brakes before departure, at start-up and during running.
4. Operating mode and maximum speed of the train in relation to the line characteristics
must be able to:
take note of information given to them before departure,
determine the type of running and the maximum speed of the train on the basis of variables such as speed limits or any signalling changes.
5. Driving the train in a way which does not damage installations or vehicles
must be able to:
use all available control systems in accordance with the applicable rules,
start the train taking account of adhesion and power constraints,
know the train's position on the line at all times,
apply the brakes for decelerations and stops, taking account of the rolling stock and installations.
must be able to:
be attentive to unusual occurrences concerning the behaviour of the train,
identify signs of anomalies, distinguish between them and react according to their relative importance, always giving priority to the safety of rail traffic and persons,
know the available means of protection and communication,
inspect the train to detect any minor anomalies,
try to remedy such anomalies.
7. Operating incidents and accidents, fires and accidents involving persons
must be able to:
take steps to protect the train and summon assistance in the event of an accident involving persons on board the train,
determine whether the train is transporting dangerous goods and identify them on the basis of train documents and wagon lists.
8. Conditions for continuing running after an accident involving rolling stock
After an incident, train
drivers must be able to:
decide if the vehicle can continue to run and under what conditions,
inform the infrastructure manager of those conditions as soon as possible.
9. Immobilisation of the train
must be able to take measures to ensure that the train does not start up unexpectedly, even in the most difficult conditions.
EXAMINATION OF PROFESSIONAL KNOWLEDGE OF INFRASTRUCTURE
Matters relating to infrastructure
1. Testing the brakes
must be able to check, before departure, that the train's actual braking power corresponds to the braking power required for the line as specified in the vehicle documents.
2. Type of operation and maximum train speed according to the line characteristics
must be able to:
take note of information given to them before departure, such as the speed limits or any signalling changes,
determine the type of running and the maximum speed of the train on the basis of the characteristics of the line.
3. Knowledge of the line
must be able to anticipate problems and react appropriately in terms of safety and performance. They must therefore have a thorough knowledge of the railway lines and installations on their route and of any equivalent routes agreed on.
The following aspects are important:
operational conditions (changes of track, one-way running, etc.),
identification of tracks that can be used for a given type of running,
the operations regime,
the block system and associated regulations,
station names and the position and distance-sighting of stations and signal boxes to adapt driving accordingly,
transition signalling between different operating or power supply systems,
speed limits for the different train categories driven,
particular braking conditions, for example on lines with a steep downward gradient,
particular operating features: special signals, signs, departure conditions, etc.
4. Safety regulations
must be able to:
start the train only when all prescribed conditions are fulfilled (timetable, start order or signal, operation of signals if required, etc.),
observe track-side or in-cab signals, interpret them immediately and without error, and act as specified,
run the train safely according to the specific modes of operation: apply special modes if instructed, temporary speed restrictions, running in opposite direction, permission to overrun signals at danger, switching operations, turns, running through construction sites, etc.,
respect scheduled or supplementary stops, and if necessary perform supplementary operations for passengers during these stops, notably opening and closing the doors.
5. Driving the train
know the train's position on the line at all times,
apply the brakes for decelerations and stops, taking account of the rolling stock and installations,
adjust the running of the train in accordance with the timetable and any orders given on saving energy, taking account of the characteristics of the traction unit, the train, the line and the environment.
must be able to:
be attentive, insofar as train operation permits, to unusual occurrences concerning the infrastructure and the environment: signals, tracks, energy supply, level crossings, track surrounding, other traffic,
be attentive to unusual occurrences concerning the behaviour of the train,
know particular distances to clear obstacles,
inform the infrastructure manager as soon as possible of the place and nature of anomalies observed, making sure that the information has been understood,
ensure or take measures to ensure the safety of traffic and persons, whenever necessary.
7. Operating incidents and accidents, fires and accidents involving persons
must be able to:
take steps to protect the train and summon assistance in the event of an accident involving persons,
determine where to stop the train in the event of a fire and facilitate the evacuation of passengers, if necessary,
provide useful information on the fire as soon as possible if the fire cannot be brought under control by the train
driver acting alone,
after an incident, decide if the rolling stock can continue to run and under which conditions,
inform the infrastructure manager of these conditions as soon as possible.
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)
(OJ L 164, 30.4.2004, p.44).
Council Directive 96/48/EC of 23 July 1996 on the interoperability of the trans-European high-speed rail system (OJ L 235, 17.9.1996, p. 6). Directive as last amended by Directive 2004/50/EC of the European Parliament and of the Council (OJ L 164, 30.4.2004, p. 114).
Directive 2001/16/EC of the European Parliament and of the Council of 19 March 2001 on the interoperability of the trans-European conventional rail system (OJ L 110, 20.4.2001, p. 1). Directive last amended by Directive 2004/50/EC.
Commission Decision 98/500/EC of 20 May 1998 on the establishment of Sectoral Dialogue Committees promoting the Dialogue between the social partners at European level (OJ L 225, 12.8.1998, p. 27). Decision last amended by the Act of Accession of 2003.
In particular: - collection of current and high-voltage systems - tanks, fuel supply system, exhaust equipment - traction chain, motors and transmission - communication equipment (ground-to-train radio, etc.).