EN Official Journal of the European Union L 13/1

COMMISSION REGULATION (EU) No 36/2010

of 3 December 2009

on Community models for train driving licences, complementary certificates, certified copies of complementary certificates and application forms for train driving licences, under Directive 2007/59/EC of the European Parliament and the Council

(text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

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 Community (1), and in particular Article 4(4) thereof,

Having regard to the recommendation of the European Railway Agency No ERA/REC/SAF/04-2008 of 19 December 2008 on harmonised formats for train driving licences, complementary certificates, and certified copies of the complementary certificates for train drivers, in conformity with Directive 2007/59/EC and the recommendation of the European Railway Agency No ERA/REC/SAF/06-2008 of 19 December 2008 on the use of a harmonised model for application form for train driving licences,

Whereas:

(1) Directive 2007/59/EC provides that all train drivers shall have the necessary fitness and qualifications to drive trains and shall hold the following documents: a licence demonstrating that the driver satisfies minimum conditions as regards medical requirements, basic education and general professional skills and one or more certificates indicating the infrastructures on which the holder is authorised to drive and indicating the rolling stock which the holder is authorised to drive.

(2) The Member States’ laws on the certification conditions for train drivers differ considerably. Harmonised models for the certification of train drivers should therefore be adopted to support the implementation of the relevant Community rules.

(3) The aim of harmonising licences and complementary certificates is primarily to make it easier for train drivers to move from one Member State to another, but also to make it easier for them to move from one railway undertaking to another, and generally to have the licences and certificates recognised by all railway sector stakeholders. To this end, it is essential that the provisions set minimum requirements which applicants should meet to obtain a licence or harmonised complementary certificate. In order to guarantee the necessary uniformity and transparency, Member States should adopt a harmonised model for train driving licences, whilst railway undertakings and infrastructure managers should issue harmonised complementary certificates.

(4) To railway undertakings and infrastructure managers employing or contracting drivers, and especially to railway undertakings operating international services, it is important that the format of complementary certificates should be the same in different Member States; therefore it should be harmonised in order to attest drivers’ compliance with certain minimum conditions, professional qualifications and linguistic knowledge.

(5) In accordance with Article 4(4) of Directive 2007/59/EC, the European Railway Agency is required to prepare a draft of Community model for the licence, the complementary certificate and the certified copy of the complementary certificate, and also determine their physical characteristics, taking into account therein anti-forgery measures. The same Article requires the Agency to recommend Community Codes for the different types of categories of driving A and B to be displayed on the complementary certificate. Annex I(2)(g) to Directive 2007/59/EC states that the Commission shall decide the codes for additional information or medical restriction to be included in the train driving licences.

(6) Each train driving licence should be granted by the Member States with a unique number; this number should also make it easier to record the licence in the national register of train driving licences, to be set up in accordance with Article 22(1)(a) of Directive 2007/59/EC.

(7) All of the information contained in train driving licences, complementary certificates and registers thereof 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) (2) and to speed up the issuing of the safety certificates provided for in those Articles.

(8) The employment of train drivers certified in accordance with Directive 2007/59/EC should 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 pursuant to Article 9 of and Annex III to Directive 2004/49/EC and should form part of that system. The harmonised complementary certificate should not relieve railway undertakings and infrastructure managers of their responsibility for the safe operation of their part of the railway system, and, in particular, the training of their staff.

(9) Article 7(1) of Directive 2007/59/EC states that a licence shall be valid throughout the territory of the Community and Article 4(4) of that Directive requires a Community model to be set out. A harmonised application form for licences would therefore facilitate the work of the competent authorities in the Member States that have to collect information in order to deliver the licence.

(10) Article 14(1) of Directive 2007/59/EC requires competent authorities in the Member States to publish the procedure to be followed for obtaining a licence. When establishing such procedures, competent authorities should include provisions for the use of the harmonised application form.

(11) The harmonised application form may be used to provide adequate information on the national enforcement provisions for 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 of the free movement of such data (3) on the protection of individuals when processing personal data. Competent authorities may use it to obtain authorisation to process data on applicants for or holders of a train driving licence, whenever it is required thereby.

(12) The adoption of a harmonised application form has a very limited economic impact and constitutes a very slight administrative burden, given the possibility to choose between a printout document and an IT interface using a common application.

(13) In accordance with Article 36(3) of Directive 2007/59/EC, the latter does not apply to Cyprus and Malta. Therefore this Regulation should not be applicable in Cyprus and Malta as long as no railway system is established within the territory of these Member States.

(14) The measures provided for in this Regulation are in accordance with the opinion of the Railway Safety and Interoperability Committee as set up under Article 21 of Directive 96/48/EC,

HAS ADOPTED THIS REGULATION:

Article 1

Community model for train driving licences

The Community model as set out in Annex I to this Regulation shall be used for train driving licences as referred to in Article 4(1)(a)of Directive 2007/59/EC. This format shall be used whenever a train driving licence is issued, renewed, updated, amended or revoked.

The language used shall be one or more official language(s) of the European Community.

Article 2

Community model for complementary certificates

The Community model as set out in Annex II to this Regulation shall be used for complementary certificates as referred to in Article 4(1)(b) of Directive 2007/59/EC.

This format shall be used whenever a complementary certificate is issued, renewed, updated, amended or revoked.

The language used shall be one or more official language(s) of the European Community.

Article 3

Community model for certified copies of complementary certificates

The Community model set out in Annex III to this Regulation shall be used for certified copies of the complementary certificates issued in accordance with Article 17 of Directive 2007/59/EC.

Article 4

Application form for train driving licences

1. The Community model of the application form, as set out in Annex IV to this Regulation may be used for train driving licence application forms referred to in Article 14 of Directive 2007/59/EC. This model shall allow the inclusion of national requirements that may complement the information set out in Annex IV to this Regulation.

2. The Community model of the application form, may be used to apply for a new licence, the updating of licence particulars, a renewal or a duplicate.

3. Guidelines for filling in the Community model of the application form are set out in Annex IV.

4. Competent authorities may transfer the lay-out of the Community model into the procedure to be published in accordance with Article 14(1) of Directive 2007/59/EC and into the IT based interfaces.

Article 5

Entry into force

This Regulation shall enter into force on the 20th day following its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States, except Cyprus and Malta as long as no railway system is established within their territory. Done at Brussels, 3 December 2009. For the Commission José Manuel BARROSO The President

(1) OJ L 315, 3.12.2007, p. 51.

(2) OJ L 164, 30.4.2004, p. 44.

(3) OJ L 281, 23.11.1995, p. 31.

ANNEX I COMMUNITY MODEL OF TRAIN DRIVING LICENCE 1. PHYSICAL CHARACTERISTICS OF THE TRAIN DRIVING LICENCE The train driving licence shall follow the format ID-1 set out in international standard ISO/IEC 7810:2003 Identification cards — Physical characteristics. Without prejudice to data protection rules, Member States may, for national use only, use storage medium (microchip) as part of the licence, to allow railway undertakings and infrastructure managers to store company-related information including the data to be contained in the complementary certificate, provided that it does not in any way interfere with the implementation of this Regulation. The insertion of any such microchip shall conform with international standard ISO 7816-1:1998 Identification cards — Integrated circuit(s) cards with contacts — Part 1: Physical characteristics. Railway undertakings and infrastructure managers will not be exempted from adopting the Community model of the complementary certificate described in Chapter 4 of Annex II until the harmonised requirements for the use of smart-card are established. Methods for verifying the characteristics of the driving licences, to ensure that they are consistent with international standards, shall comply with standard ISO/IEC 10373-1:2006 Identification cards — Test methods — Part 1: General characteristics. 2. ANTI-FORGERY MEASURES (a) The material used for driving licences shall be made secure against forgery by using the following techniques (mandatory security features): — card bodies shall be UV dull, — a security background pattern shall be designed to be resistant to counterfeit by scanning, printing or copying, using rainbow printing with multicolour security inks and positive and negative guilloche printing; the pattern shall not be composed of the primary colours (CMYK), shall contain complex pattern designs in a minimum of two special colours and shall include micro lettering, — optical variable elements shall provide adequate protection against copying and tampering with the photograph, — in the area of the photograph the security design background and photograph shall overlap on at least the border of the photograph (weakening pattern). (b) In addition, the material used for driving licences shall be made secure against forgery by using at least one of the following techniques (additional security features): — colour-shifting inks, — thermochromic ink, — custom holograms, — variable laser images, — tactile characters, symbols or patterns. The techniques used should enable the competent authorities to check the validity of the card without any special equipment. Non-technical measures to prevent forgeries shall be related to the monitoring of the safety management system put in place by railway undertakings and infrastructure managers in accordance with Annex III(2)(j) to Directive 2004/49/EC. 3. LAY-OUT OF THE TRAIN DRIVING LICENCE The train driving licence shall follow the Community model, the reference colours (Pantone Reflex Blue and Pantone Yellow) and the patterns, whose lay-out is provided in appendix. The Agency shall provide electronic version of the high definition graphic lay-out, which shall include open-type fonts (Myriad Pro and Minion Pro, available in all alphabets of EU languages) and dimensions to be used for fonts. The train driving licence shall have information displayed on two sides. Recto shall contain: (a) the words ‘train driving licence’ printed in large type in the language or languages of the Member State issuing the licence; (b) the name of the Member State issuing the licence; (c) the distinguishing sign of the Member State issuing the licence, based on ISO 3166 alpha-2 code, printed in negative in a blue rectangle and encircled by 12 yellow stars. The distinguishing signs shall be as follows: [(*) CH and NO are mentioned for information] AT : Austria BE : Belgium BG : Bulgaria CY : Cyprus (1) CZ : Czech Republic DK : Denmark EE : Estonia FI : Finland FR : France DE : Germany EL : Greece HU : Hungary IS : Iceland IE : Ireland IT : Italy LV : Latvia LI : Liechtenstein LT : Lithuania LU : Luxembourg MA : Malta (1) [NO] : [Norway] (*) NL : Netherlands PL : Poland PT : Portugal RO : Romania SK : Slovak Republic SI : Slovenia ES : Spain SE : Sweden [CH] : [Switzerland] (*) UK : United Kingdom; (d) information specific to the licence issued, to be numbered as follows: 1. the surname(s) of the holder. The surname(s) must match that (those) displayed on the passport/national identity card/other recognised document proving identity; 2. the name(s) of the holder. The name(s) must match that (those) displayed on the passport/national identity card/other recognised document proving identity; 3. the date and place of birth of the holder; 4a the date of issue of the licence; 4b the date of expiry of the licence; 4c the name of the issuing authority; 4d the reference number assigned to the employee by the employer (optional); 5. the number of the licence giving access to data in the national register is based on the European Identification Number, (EIN) as stated in Commission Regulation (EC) No 653/2007 (2). The two-digit EIN code for the type of document, shall be as follows: 71 up to counter 9 999; if more than 9 999 licences are issued per year: 72 if counter is 10 000 and up to 19 999; in cases where more than 19 999 licences are issued per year: 73 if counter is 20 000 and up to 29 999; 6. a photograph of the holder; 7. the signature of the holder. Verso shall contain: 8. the permanent place of residence or postal address of the holder (optional), displayed in space identified with number 8; 9. additional information (identified as ‘9a’ boxes), or medical restrictions (identified as ‘9b’ boxes) for use imposed by a competent authority. Medical restrictions will be displayed in code form. 9a Additional information shall be displayed in boxes identified with number 9a, in the following order: a.1 Native language(s) of the train driver, according to the classification in use in the Member State; a.2 Space reserved for entries by the Member State which issues the licence, for necessary information according to national legislation. 9b Medical restriction shall be displayed in boxes identified with number 9b. Codes ‘b.1’ and ‘b.2’ will constitute harmonised Community codes for medical restrictions: b.1 Mandatory use of glasses/lenses; b.2 Mandatory use of hearing aid/communication aid. The relevant code shall be added in one of the boxes, and those which are not used shall be made void. In addition, the word ‘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, shall be printed as follows: Bulgarian: СВИДЕТЕЛСТВО ЗА УПРАВЛЕНИЕ НА ЛОКОМОТИВ Czech: LICENCE STROJVEDOUCÍHO Danish: LOKOMOTIVFØRERLICENS Dutch: VERGUNNING MACHINIST (the Netherlands) VERGUNNING VAN TREINBESTUURDER (Belgium) English: TRAIN DRIVING LICENCE Estonian: VEDURIJUHILUBA Finnish: KULJETTAJAN LUPAKIRJA French: LICENCE DE CONDUCTEUR DE TRAIN (Belgium, France, Luxembourg) German: EISENBAHNFAHRZEUG-FÜHRERSCHEIN (Belgium, Germany) FAHRERLAUBNIS FÜR TRIEBFAHRZEUGFÜHRER (Austria) Greek: ΆΔΕΙΑ ΜΗΧΑΝΟΔΗΓΟΎ Hungarian: VASÚTI JÁRMŰVEZETŐI IGAZOLVÁNY Irish: CEADÚNAS TIOMÁNA TRAENACH Italian: PATENTE DEL MACCHINISTA Latvian: VILCIENA VADĪTĀJA APLIECĪBA Lithuanian: TRAUKINIO MAŠINISTO PAŽYMĖJIMAS Maltese: LIĊENZJA TA' SEWWIEQ TAL-FERROVIJI [Norwegian]: [FØRERBEVIS] (*) (for information) Polish: LICENCJA MASZYNISTY Portuguese: CARTA DE MAQUINISTA Romanian: PERMIS DE MECANIC DE LOCOMOTIVĂ Slovak: PREUKAZ RUŠŇOVODIČA Slovenian: DOVOLJENJE ZA STROJEVODJO Spanish: TITULO DE CONDUCCIÓN DE VEHICULOS FERROVIARIOS/MAQUINISTA Swedish: FÖRARBEVIS 4. STATUS AND NUMBERING OF THE TRAIN DRIVING LICENCE The number shall be attributed by the competent authority or the delegated body, when issuing the train driving licence. The number shall be preserved, either in case of renewal, amendment, update or issue of a duplicate. When the licence is renewed, after 10 years, a new photo and new expiry date shall be displayed on the licence. The licence shall be updated in case changes occur in optional data, such as change of address or change of reference number of the employee. The licence shall be amended when a medical restriction is to be recorded during the period of validity. New code(s) shall be added according to the procedure established in accordance with Article 14(1) of Directive 2007/59/EC. The competent authority shall update the licence according to the procedure and delay established in conformity with Article 14(1) of Directive 2007/59/EC. The railway undertakings or infrastructure managers employing or contracting drivers shall implement without delay any decision deriving from the result of medical checks. All changes in the status of the train driving licences shall be recorded in the national register of train driving licences. 5. PREVENTION ON THE USE OF INVALID CARDS If the information on the licence is altered, the holder must immediately return the card to the authority that issued it, so that it can be replaced, and the invalid card can be destroyed. The same procedure applies to a lost card, replaced by a new one and then found again. 6. COMMUNITY MODEL OF TRAIN DRIVING LICENCE (1) The obligations for transposition and implementation of this Directive shall not apply to Cyprus and Malta as long as no railway system is established within their territory [Article 36(3) of Directive 2007/59/EC] (2) OJ L 153, 14.6.2007, p. 9.

ANNEX II COMMUNITY MODEL OF COMPLEMENTARY CERTIFICATE 1. CONTENT Railway undertakings and infrastructure managers shall issue complementary certificates to be carried by the train drivers they employ or use under contractual arrangements when on duty, in accordance with Article 29 of Directive 2007/59/EC. The procedure for issuing and updating complementary certificates, set up in accordance with Article 15 of Directive 2007/59/EC, shall specify the language(s) in which the certificates are issued. Complementary certificates shall contain the following information: — a reference to the licence number, — the surname(s) of the holder: Member States may include all the surnames recognised, but the priority should be given to the main family name and the listing of names should be consistent with that displayed in the licence, — the name(s) of the holder. Member States may include all the first names that they recognise, but the listing of the name shall be consistent with that displayed in the licence, — reference number given by the employer (optional), — issuing and expiry date of the complementary certificate. The duration of validity for the complementary certificate is established by RUs/IMs employing or contracting drivers, and set in the procedure to be published by RUs/IMs in conformity with Article 15. If the certificate is valid indefinitely, the expiry date is made void, — data related to the issuing organisation. The complementary certificate may be issued by a central or regional RU/IM’s department, designated under the procedure in conformity with Article 15 of Directive 2007/59/EC, — it may include a company internal number for administrative purposes. The following information will be numbered as described below. 1.1. Data on the employer The information on the company employing or contracting the train driver shall include: — the company name and, if relevant, the workplace (e.g. the depot to which the driver is assigned), — the category of entity employing or contracting the driver: ‘railway undertaking’ or ‘infrastructure manager’, — the postal address: street address, post code, city and country, — the train driver’s personal reference number within the company. This is optional information. 1.2. Data on the holder The following data on the holder shall be displayed: — the place of birth (place and country), — the date of birth, — the nationality of the driver, — the postal address (street address, post code, city and country). This is optional information. 1.3. Categories of driving The categories and types of driving, for which the driver is authorised to drive, shall be displayed as follows. Category A RUs/IMs may use ‘A’ as a global category, encompassing all activities of category A: shunting locomotives, work trains, maintenance railway vehicles and all other locomotives when they are used for shunting. Alternatively, RUs/IMs may limit the scope of the certificate to one or more of the following types: A1 = when limited to shunting locomotives; A2 = when limited to work trains; A3 = when limited to maintenance railway vehicles; A4 = when limited to all other locomotives when they are used for shunting; A5 = other, if the authorisation is related for services or rolling stock not included in the previous categories. This shall be specified in the appropriate space. Category B RUs/IMs may use ‘B’ as a global category, encompassing carriages of passengers and goods. Alternatively, RUs/IMs may limit the scope of the certificate to one or more of the following types: B1 = when limited to carriage of passengers; B2 = when limited to carriage of goods. The category in which the holder is authorised to drive shall be indicated by filling in the appropriate box if a global category is chosen or boxes, if one or more subcategories are chosen. The boxes that are not necessary shall be made void. Examples: A = global category A. No subcategory used A = Category A, subcategory 1 (authorisation to drive only shunting locomotives) A = Category A, subcategories 2 and 3 (authorisation to drive work-trains and maintenance vehicles) A = Category A, subcategory 5 (authorisation related to service or rolling stock not corresponding to subcategories from A1 to A4. To be specified in the box ‘notes’) B = global category B, no subcategory used B = Category B, subcategory 2 (authorisation to drive freight trains) Railway Undertakings and Infrastructure Managers shall ensure that the choice of subcategory does not influence the requirements set out in Annex V and VI to Directive 2007/59/EC. 1.4. Additional information This part is reserved for additional information that may be requested by national applicable legislation or by the company’s internal procedures. 1.5. Data related to language skills The list of all languages, others than the native language, that are necessary to operate on the relevant infrastructure and that are known by the train drivers and comply with the requirements of Annex VI to Directive 2007/59/EC, shall be inserted here. 1.6. Restrictions This part shows restrictions related to the characteristics and capabilities of the driver in relation to the content of the complementary certificate (e.g.: driving allowed only in daylight) If the restrictions concern rolling stock (e.g.: speed restrictions when driving certain types of locomotives) and/or infrastructure, the information in text format shall be provided in the box ‘notes’ beside the relevant rolling stock and/or infrastructure. 1.7. Data relating to rolling stock This part lists types of rolling stock the driver is authorised to drive, following an assessment of competences listed in Annex V to Directive 2007/59/EC. Data shall be displayed in the following boxes: — a box for the date of the beginning of validity of the relevant competence, — a box for each type of rolling stock, — a box with space for notes (they may be the stamp to confirm the acquired competences, the date of the end of validity of the competency or other relevant information, as stated in point 1.6 above). 1.8. Data related to infrastructure This part lists the infrastructure on which the driver is authorised to drive following an assessment of the competencies listed in Annex VI points (1) to (7) to Directive 2007/59/EC. Data shall be displayed in the following boxes: — a box for the date of beginning of validity of the relevant competence, — a box for the extent of infrastructure on which the driver is authorised to drive, — a box with space for notes (they may be a stamp to confirm the acquired competences, the date of end of the validity of the competence or other relevant information, as stated in point 1.6 above. The extent of infrastructure on which the driver is authorised to drive is described in the railway undertaking’s procedure for issuing and updating the complementary certificate. For each part of infrastructure on which the driver is authorised to drive, relevant information or restrictions shall be added. 2. PHYSICAL CHARACTERISTICS OF THE COMPLEMENTARY CERTIFICATE The Community model of complementary certificate shall be a foldable document, the size shall be 10 cm × 21 cm (when unfolded) giving three outside and three inside pages. The front page shall display the following information: — surname(s) and name(s) of the holder, — licence number, — issue and expiry dates of the complementary certificate, — data related to issuing entity and stamp. It may include a company internal number for administrative purposes. Page two shall contain data on the employer/contracting entity and additional data on the holder, numbered as follows: 1. Data on the employer or contracting entity; 2. Data on the train drivers (holder of the complementary certificate). Page three shall contain: 3. The categories of driving; 4. Additional information; 5. Language skills; 6. Restrictions. The inside pages shall contain the types of rolling stock that the driver is authorised to drive (types, date of initial assessment) and the list of infrastructure on which the driver is authorised to drive. Additional internal pages may be added to include information that exceeds the available space. The complementary certificate shall comply with the model shown in section 4. 3. ANTI-FORGERY MEASURES The following two anti forgery measures shall be used for the complementary certificates: Technical measures (the most common are company logo, paper texture and permanent ink, display of an internal reference number and stamp). All updates shall be confirmed by a date and stamp on the document and shall be consistent with information in the register. Procedures for monitoring the safety management system, to check that information on the complementary certificate is valid and has not been altered, in accordance with Article 18(1) of Directive 2007/59/EC. All this information shall be included in the provisions for issuing and updating complementary certificates, in accordance with Article 15 of Directive 2007/59/EC. 4. COMMUNITY MODEL OF COMPLEMENTARY CERTIFICATE

ANNEX III COMMUNITY MODEL OF CERTIFIED COPY OF COMPLEMENTARY CERTIFICATE 1. CERTIFIED COPY OF COMPLEMENTARY CERTIFICATE Railway undertakings and infrastructure managers shall issue certified copies of complementary certificates to the train driver upon request or when leaving the job. The Community model of certified copy of complementary certificate is set out in section 4 of this Annex. The procedure for issuing complementary certificates, set up in accordance with Article 15 Directive 2007/59/EC, shall specify the language(s) in which the certificates are issued. 2. PHYSICAL CHARACTERISTICS OF THE CERTIFIED COPY OF COMPLEMENTARY CERTIFICATE The Community model of certified copy of a complementary certificate shall be on A4 paper, listing information numbered as in Annex II section 1 and containing the date when the driver has ceased driving trains for the RU/IM, in accordance with Articles 6(2) and 17 of Directive 2007/59/EC. The possession of a certified copy of complementary certificate provides information about competencies acquired by the driver and does not represent an authorisation to drive. The model shall be on A 4 sized paper and be limited to one page. However given the possibility that the information may require more than one line in the relevant boxes, the final certified copy may be more than one page. 3. ANTI-FORGERY MEASURES Anti forgery measures for certified copies of the complementary certificates shall be the same as those for complementary certificates, described in Annex II section 3. 4. COMMUNITY MODEL OF CERTIFIED COPY OF COMPLEMENTARY CERTIFICATE