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
Date: 2004-03-03
Institutions: European Commission
Subjects: Community certification, drivers, professional qualifications, rail transport, trans-European network, transport safety

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 3.3.2004 
COM(2004) 142 final 

2004/0048 (COD)  

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 

(presented by the Commission) 

EN 

   EN 

 
 
 
 
 
 
 
EXPLANATORY MEMORANDUM 

1. 

COMMUNITY REGULATORY FRAMEWORK 

The establishment of a single market for railway transport services made it necessary to create 
a framework of requirements for implementing the opening up of the market and regulating it 
at EU level. The Community responded to this by adopting the legislative package for railway 
infrastructure  in  20011.  By  amending  particular  provisions  of  the  “mother”  Directive 
91/440/EC,  Directive  2001/12/EC  clarified  the  roles  and  responsibilities  of  the  parties 
involved, i.e. railway undertakings, infrastructure managers and supervisory bodies, which are 
responsible for arbitrating in potential conflicts between the first two. Directive 2001/13/EC 
on  the  licensing  of  railway  undertakings  introduced  the  principle  of  mutual  recognition  by 
authorising  market  access  for  all  undertakings  which  hold  a  licence  in  one  of  the  Member 
States  and  wish  to  engage  in  international  goods  transport  operations.  Finally,  Directive 
2001/14/EC provided a framework for allocating capacity and levying charges for the use of 
railway infrastructure, based on the dual principle of transparency and neutrality.  

This  process  has  at  the  same  time  made  it  necessary  to  remove  “technical”  barriers  to  the 
development  of  trans-European  transport  while  maintaining  an  optimum  safety  level.  The 
directives  on  railway  interoperability2  have  made  it  possible  to  initiate  the  technical  work 
necessary for defining Technical Specifications for Interoperability (TSIs), which are essential 
for providing pan-European railway services. The High-Speed TSIs were adopted on 30 May 
2002 and the first generation of conventional TSIs is currently being drawn up and should be 
adopted in May 2004.  

By  presenting  the  second  railway  package3  in  January  2002,  the  European  Commission 
strengthened the Community legislative framework for railway safety in accordance with the 
requirements  imposed  by  the  definition  of  an  interoperable  network,  both  from  a  technical 
viewpoint  and  that  of  the  personnel  running  interoperable  services.  The  second  railway 
package comprised four inter-linked legislative proposals: 

(cid:131)  A  proposal  for  a  directive  on  railway  safety  to  define  the  key  elements  of  safety 
management systems for infrastructure managers and railway undertakings. The aim is to 
develop  a  common  approach  to  safety  and  establish  a  common  system  for  the  issue, 
content  and  validity  of  safety  certificates,  and  to  introduce  the  principle  of  independent 
accident investigations that already exists in other sectors.  

(cid:131)  An  amendment  of  the  interoperability  directives  96/48/EC  and  2001/16/EC.  In 
addition  to  making  the  adaptations  required  to  harmonise  the  two  directives  and  to  take 

1  

2  

3  

Directives 2001/12/EC of the European Parliament and of the Council of 26 February 2001 amending 
Council  Directive  91/440/EEC  on  the  development  of  the  Community’s  railways,  2001/13/EC  of  the 
European Parliament and of the Council of 26 February 2001 amending Council Directive 95/18/EC on 
the licensing of railway undertakings, and 2001/14/EC of the European Parliament and of the Council 
of 26 February 2001 on the allocation of railway infrastructure capacity and the levying of charges for 
the use of railway infrastructure and safety certification, OJ L 75 of 15 March 2001. 
Council  Directive  96/48/EC of 23  July  1996  on  the  interoperability  of  the  trans-European high-speed 
rail system, OJ L 235 of 17 September 1996, and 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 of 20 April 2001. 
Communication  from  the  Commission  to  the  Council  and  the  European  Parliament  –  “Towards  an 
integrated European railway area”,  23 January 2002, COM(2002)18. 

2 

 
 
  
 
                                                 
account of experience gained in this field, the aim is to acknowledge the role of the future 
agency and ensure coherence between the scope of the network on which access will be 
provided and that on which the interoperability rules should apply. 

(cid:131)  A  proposal  for  a  regulation  establishing  a  European  Railway  Agency  to  provide 
technical  support  for  interoperability  and  safety.  The  agency  will  pursue  activities  in 
developing common safety standards and establishing and managing a system to monitor 
safety  performance  and,  secondly,  assume  the  long-term  management  of  the  system  for 
drafting and updating TSIs and their follow-up on the ground. 

(cid:131)  A  proposal  for  amending  Directive  91/440  to  extend  rights  of  access  to  railway 
infrastructure  to  domestic  freight  services  within  a  Member  State  and  expedite  the 
opening-up of the market. 

Final adoption of these proposals is planned for the beginning of 2004. 

The  proposal  for  a  directive  on  railway  safety  requires  infrastructure  managers  and  railway 
undertakings  to  develop  their  safety  management  system  in  such  a  way  that  the  railway 
system can at least attain the Common Safety Objectives, comply with national safety rules 
and with the safety requirements specified in the TSIs, and that the relevant elements of the 
Common Safety Methods are applied. In  this  safety management system, provision is made 
for staff training programmes and for systems ensuring that staff skills are maintained at an 
optimum level.  

This directive also provides that a railway undertaking must hold a safety certificate in order 
to have access to the infrastructure. This certificate confirms acceptance of the measures taken 
by  the  railway  undertaking  to  meet  the  specific  requirements  necessary  for  safely  operating 
the  relevant  network.  These  requirements  may  concern  the  application  of  the  TSIs  and 
national  safety  rules,  acceptance  of  staff  certificates  and  authorisation  to  operate  the  rolling 
stock  used  by  the  undertaking.  With  regard  to  staff,  certification  will  still  be  based  on 
documents  to  be  furnished  by  the  undertaking  concerning  the  different  categories  of  their 
personnel  or  contractors,  including  proof  that  the  personnel  meets  the  requirements  of  the 
TSIs or the national rules and that it has been duly certified. 

With regard to the latter aspect, it has rapidly become clear that common rules should 
be  adopted  on  certification  of  train  drivers  to  facilitate  their  interoperability  and 
improve  management.  This  should  eventually  make  it  easier  to  certify  railway 
undertakings  while  maintaining  a  high  level  of  safety  and  guaranteeing  conditions  for 
free movement of workers in the railway sector. 

Examination of the proposals of the second railway package has highlighted the importance 
of this aspect  of interoperability for  establishing an integrated railway market. Accordingly, 
when political agreement was reached on the Package in the Council on 28 March 2003, the 
Commission gave a commitment to present to the European Parliament and the Council, by 
the  end  of  2003,  a  proposal  on  introducing  a  European  train  driver’s  licence.  The  need  for 
such  a  proposal  was  emphasised  at  the  second  reading  in  the  European  Parliament  which 
agreed  to  withdraw  several  amendments  on  condition  that  the  Commission  make  an  even 
stronger commitment to submit such a proposal as soon as possible.   

3 

 
 
  
 
2. 

CONTRIBUTIONS EMATING FROM THE SOCIAL DIALOGUE 

In  1996,  the  study  group  on  interoperability  of  the  Joint  Committee  on  Railways4  sent  a 
report5  to  the  European  Commission  on  the  social  aspects  of  European  railway  policy.  The 
social partners involved in drawing up this report were already able to stress the importance 
of the social dimension of interoperability as well as the technical dimension for boosting 
trade using the railways. The main conclusions of the 1996 report were as follows:  

(cid:131) 
(cid:131) 

the skills of train drivers should be harmonised rather than their training; 
the  communication  requirements  between  the  infrastructure  manager  and  train  crews 
should be defined first; 

(cid:131)  certain  skills  require  psychological  and  medical  examinations  for  which  a  uniform 

approach should be adopted. 

In their conclusions, the partners pointed out that such convergence of interests highlights the 
need to harmonise these professional skills in order to establish a quality assurance process at 
Community level. 

As a direct response to this first report and taking account of the Commission’s proposals on 
the infrastructure package of 1998 and on interoperability of conventional railways of 1999, 
the Sectoral Dialogue Committee examined the subject in detail and submitted its conclusions 
to  the  Commission  in  March  20006.  The  conclusions  concerned  the  classification  of  skills, 
possible  methods  for  train  drivers’  certification  and  the  role  of  all  the  players  involved 
(Member States, infrastructure managers, railway undertakings, European institutions).   

More  recently,  the  Community  of  European  Railways  (CER)  and  the  European  Transport 
Workers’ Federation (ETF) reached agreement on general social conditions significant for the 
European  railway  market.  The  negotiations,  which  had  started  in  February 2003  when  the 
present proposal already appeared on the Commission’s work programme for 2003, focused 
on the working conditions of train crews engaged in cross-border rail transport services and 
the European train driver’s licence. The latter agreement is designed to establish a transitional 
European  licence  system7,  anticipating  the  implementation  of  the  present  proposal  for  a 
directive. The said agreement reaffirms the general objectives underlying the introduction of a 
European train driver’s licence:  

(cid:131) 

(cid:131) 

4  

5  

6   
7  

to  enhance  the  interoperability  of  train  crews  so  as  to  stimulate  international  railway 
transport; 
to maintain and raise the safety level and thus guarantee the quality of services provided 
by train drivers while ensuring and verifying the level of skills adapted to the European 
networks used; 

Committee  set  up  in  1984  to  assist  the  Commission  in  drafting  and  implementing  Community  social 
policy in order to improve and harmonise living and working conditions in the railway sector.   
Social  dialogue  at  sectoral  level  is  currently  organised  in  accordance  with  the  provisions  of  the 
Commission  Decision  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).  In  the 
railway sector, a Social Dialogue Committee was set up in 1999, bringing together representatives of 
the Community of European Railways (CER) and the European Transport Workers’ Federation (ETF). 
Interoperability study group of the Joint Committee on Railways, Working Party No 1, Social aspects of 
European railway policy, October 1996. 
Railway Social Dialogue (ETF/CER), Joint Study Group on Interoperability, Final Report, March 2000. 
Agreement  between  the  CER  and  the  ETF  on  the  European  licence  for  drivers  carrying  out  a  cross-
border interoperability service, 27 January 2004. 

4 

 
 
  
 
                                                 
(cid:131) 

(cid:131) 

to  contribute  to  the  efficiency  of  methods  for  managing  interoperable  train  drivers  for 
railway undertakings; 
to reduce the risk of social dumping.  

While the question of working conditions of train crews is fully covered by Article 137 of the 
Treaty and can therefore be implemented through a Council decision in accordance with the 
provisions  of  Article  139  of  the  Treaty,  the  question  of  licences  relates  to  safety  and 
interoperability  of  the  railway  system.  The  importance  of  public  safety  and  the  imperative 
need for uniformity in specifying minimum requirements and licensing conditions call for a 
clear  EU  legislative  framework  which  should  be  fully  coordinated  with  the  elements  of  the 
second railway package with regard to interoperability and safety.  

For the present proposal, the Commission has broadly followed the example of the agreement 
on  the  European  driver’s  licence,  in  particular  with  regard  to  minimum  requirements 
concerning  medical  fitness  and psychological  suitability,  obligatory  periodic  checks  and  the 
description  of  skills  a  driver  must  have.  The  only  major  difference  between  the  agreement 
among  the  social  partners  and  the  present  proposal  lies  in  the  Community  spirit  of  this 
proposal as the driver’s certificate proposed by the Commission comprises two parts: 

•  The  first  part  is  the  EU  licence  which  reflects  the  minimum  Community 
requirements valid throughout EU territory. It is issued by the authority and belongs 
to the driver. 

•  The  second  part  is  the  harmonised  complementary  certificate  which  reflects  the 
particular requirements of the service for which each driver is authorised, i.e. it has 
restricted validity. It is issued by the railway undertaking. 

With  the  gradual  establishment  of  a  single  railway  area,  the  Community  part  will  gain  in 
importance. Moreover, the second part could be incorporated in the licence, e.g. in the form of 
a smart card.  

The  CER-ETF  agreement  provides  only  for  the  licence  issued  by  the  railway  undertaking. 
This licence remains the property of the railway undertaking and is linked to the employment 
contract. It does not replace national regulations on driver certification. 

3. 

THE COMMISSION’S STUDY 

In 2002, the Commission commissioned a study on training and staff requirements for railway 
staff in cross-border operations8.  

The conclusions of the study were presented in November 2002. They highlighted the wide 
diversity  of  national  legislation  on  certification  conditions  for  train  drivers,  administrative 
complications  resulting  from  this  for  the  granting  of  various  safety  certificates  to  railway 
undertakings  wishing  to  operate  on  the  networks  of  the  Member  States,  and  associated 
operational difficulties in organising cross-border services. 

8  

ATKINS: Training and staff requirements for railway staff in cross-border operations; Final Report, 28 
November 2002. 

5 

 
 
  
 
 
                                                 
The  study  confirms  that  train  crews  involved  in  cross-border  operations  and  personnel 
responsible for inspecting rolling stock from other Member States or from outside the EU and 
for  dispatching  trains  with  foreign  train  crews  need  additional  knowledge  and  training.  The 
skills required vary substantially from one country to another because of the language used, 
the rules governing operations and signals, knowledge of infrastructure, use of different types 
of rolling stock and emergency procedures. 

Three general recommendations are made in the study: 

(cid:131)  The  need  to  specify  and  implement  common  minimum  requirements  for  train  drivers  at 
European  Union  (or  Member  State)  level,  in  particular  to  replace  certification  systems 
based on the practices of former railway operators. 

(cid:131)  The  need  for  extending  interoperability  to  a  “multi-border”  approach  going  beyond  the 

traditional bilateral approach. 

(cid:131)  A recommendation to take advantage of the implementation of harmonised systems such 
as  ERTMS/ETCS  in  order  to  simplify  the  training  of  train  drivers  and  despatching  and 
control-command staff. 

The  following  more  specific  recommendations  were  made:  specification  of  minimum 
requirements as regards medical examinations and regular check-ups; common specification 
of  psychological  profiles;  common  specification  of  skills  for  personnel  in  cross-border 
operations;  adopting  a  new  approach  to  ensure  follow-up  of  the  level  of  competence  of 
certified  drivers;  considering  the  use  of  a  simplified  communication  system  combined  with 
basic knowledge of a common language; granting full operating rights to foreign train drivers 
when ERTMS/ECTS is active, but more restrictive operating rights in operational situations 
where  an  incident  or  damage  has  occurred;  developing  and  implementing  operational  rules 
harmonised at European level. 

The need to adopt EU rules on the certification of train drivers becomes obvious on reading 
the study’s conclusions and recommendations. On the basis of the two reports from the social 
dialogue  and  the  study  which  the  Commission  commissioned,  and  in  line  with  its 
commitments,  the  Commission  has  therefore  launched  a  consultation  procedure  to  evaluate 
the feasibility of a legislative proposal in this field. 

4. 

SITUATION IN OTHER MODES OF TRANSPORT 

In drafting this proposal, use has been made of Community legislation already in place or in 
the  process  of  being  adopted  in  other  transport  sectors.  The  establishment  of  systems  for 
driver certification at Community level always meets the same requirements:  

(cid:131)  guaranteeing  free  movement  of  drivers  within  EU  territory  following  the  opening-up  of 

transport markets. 

(cid:131)  guaranteeing an optimum safety level on the networks. 

In  the  maritime  sector,  the  Commission  has  already  set  up  a  system  similar  to  the  one  put 
forward  in  the  present  proposal,  providing  for  the  harmonisation  of  the  conditions  for 
obtaining national boatmasters' certificates for the carriage of goods and passengers by inland 

6 

 
 
  
 
 
 
waterway in the Community9. Moreover, the Commission recently presented a proposal for a 
directive10  amending  Directive  2001/25/EC  on  the  minimum  level  of  training  of  seafarers, 
introducing a Community system for the recognition of certificates of competence issued to 
seafarers  from  outside  the  European  Union.  The  purpose  of  the  legislative  provisions 
proposed is to ensure that non-EU seafarers working on board EU vessels have been trained 
and qualified in accordance with minimum international requirements. 

In  the  road  transport  sector,  while  Directive  2003/59/EC  on  the  initial  qualification  and 
periodic  training  of  drivers  of  certain  road  vehicles  for  the  carriage  of  goods  or  passengers 
entered into force only recently, the Commission has proposed a revision of EU legislation on 
drivers’ licences11 designed to standardise the model European licence, establish the principle 
of  limited  administrative  validity,  harmonise  the  regularity  of  medical  check-ups  for 
professional  drivers,  and  introduce  minimum  requirements  for  the  initial  qualification  and 
training of examiners. 

In  the  aviation  sector,  Directive  91/670/EEC12  did  introduce  the  principle  of  mutual 
recognition  of  personnel  licences  for  the  exercise  of  functions  in  civil  aviation,  but  these 
provisions quickly proved insufficient in the light of the discussions concerning proposals to 
establish the Single European Sky. There is in fact no harmonisation of training content and 
methods,  nor  of  examination  and  follow-up  criteria.  In  a  unilateral  declaration,  the 
Commission has therefore announced that it will present a proposal to Parliament and to the 
Council on measures designed to remedy the shortage of air traffic controllers and harmonise 
the system for issuing licences for air traffic controllers and ATM personnel so as to improve 
safety. 

The present proposal for a directive is intended to introduce provisions in the railway sector 
along the lines of those already in place or in the process of being introduced in other modes 
of transport. As indicated above, this should make it possible to facilitate the certification of 
railway  undertakings  as  provided  for  in  the  railway  safety  directive  while  maintaining  an 
optimum safety level and guaranteeing the free movement of workers in the sector. 

As  shown  by  the  following  table,  certification  conditions  (training  level,  age,  medical  and 
psychological  requirements,  issuing  authority,  etc.)  are  based  on  relatively  similar  models 

9  

10  

11  
12  

Council  Directive  96/50/EC  of  23  July  1996  on  the  harmonisation  of  the  conditions  for  obtaining 
national  boatmasters’  certificates  for  the  carriage  of  goods  and  passengers  by  inland  waterway  in  the 
Community,  Official Journal L 235, 17.09.1996. 
Proposal for a directive of the European Parliament and of the Council amending Directive 2001/25/EC 
of  the  European  Parliament  and  of  the  Council  on  the  minimum  level  of  training  of  seafarers, 
COM(2003)1. 
Proposal for a directive on driver’s licences (Recasting), COM(2003)626 of 08.10.2003. 
Directive 91/670/EEC of the Council of 16 December 1991 on mutual acceptance of personnel licences 
for the exercise of functions in civil aviation, Official Journal L 373, 31.12.1991. 

7 

 
 
  
 
                                                 
which  however  take  account  of  features  and  requirements  pertaining  to  each  mode  of 
transport (physical fitness, age, experience, knowledge of infrastructure, etc.). 

8 

 
 
  
 
Rail 

Road13 

Aviation14 

Certification 
conditions 

Selection 
procedure 

Require- 
ments 

Training 
programme 
and 
examination 

(provision of the 
proposal) 

- Requirements 
concerning age, 
physical and mental 
fitness, education 

- Knowledge of 
subjects connected 
with driving a train 
and knowledge of 
infrastructure 

- Strict language 
requirements  

- Criteria specified in 
the annex 

- Training 
establishment 

- Training institutes 
or other bodies 
authorised for this 
purpose by the 
competent authority  

1.  General 

framework 
2.  Professionals 

(1) Requirements 
concerning age 
and physical 
fitness according 
to type of vehicle 

(2) Obligation to 
hold the 
corresponding 
“civil” licence 

(1) Theoretical 
and practical 
knowledge of 
driving rules 

(2) Knowledge of 
safety rules while 
driving and when 
stationary 

- Examination 
criteria specified 
in the annex 

(1) Private org. 

(2) Competent 
authority 
designated by the 
Member State  

Air traffic 
controllers 

- Requirements 
concerning age, 
theoretical 
knowledge and 
language skills, 
experience, 
physical and mental 
fitness 

(1) “Initial” 
theoretical and 
practical training 
for trainee 
controllers 

(2) Unit training for 
controllers (specific 
to the unit and area 
of activity) 

- Competent 
authority supervises 
and may delegate. 
Certifies training 
establishments 

- Examining 
body 

- Training institutes 
or other bodies 
authorised for this 

(1) Harmonisation 
of initial 
qualification of 
examiners 

(1)Initial training: 
Training 
establishment 

(2) Unit training: 

Maritime 
transport15 

1.  Seafarers 
2.  Boatmasters 

(1) Requirements 
concerning age and 
physical and mental 
fitness 

(2) Ditto plus 
professional 
experience and 
knowledge of local 
navigation 
conditions  

(1) Based on 
requirements under 
the STCW 
Convention16 and 
on specific 
responsibility on 
board 

(2) Knowledge of 
navigational and 
technical rules 
(engine, load, etc.) 

(1) Maritime 
training institute 
designated by the 
Member State  

(2) No specific 
body 

(1) Competent 
authority 
designated by the 

13  

14  
15   

16  

Directive  2003/59/EC  of  the  European  Parliament  and  of  the  Council  of  15  July  2003  on  the  initial 
qualification  and  periodic  training  of  drivers  of  certain  road  vehicles  for  the  carriage  of  goods  or 
passengers,  amending  Council  Regulation  (EEC)  No°3820/85  and  the  proposal  for  a  Directive  on 
drivers’ licences (Recasting), COM(2003)626, 08.10.2003. 
The items in this table refer to a study in progress on introducing a European licence for air controllers. 
(1)  -  Directive  2001/25/EC  of  the  European  Parliament  and  of  the  Council  of  4  April  2001  on  the 
minimum level of training of seafarers, OJ EC L 136, 18.05.2001, pp. 0017 – 0041. 
-  Proposal  for  a  Directive  of  the  European  Parliament  and  of  the  Council  amending  Directive 
2001/25/EC  of  the  European  Parliament  and  of  the  Council  on  the  minimum  level  of  training  of 
seafarers, COM(2003). 
(2) – Council Directive 96/50/EC of 23 July 1996 on the harmonisation of the conditions for obtaining 
national  boatmasters’  certificates  for  the  carriage  of  goods  and  passengers  by  inland  waterway  in  the 
Community, OJ EC L 235, 17.09.1996. 
STCW Convention on standards of training, certification and watchkeeping for seafarers. 

9 

 
 
  
 
 
 
 
 
 
 
 
 
                                                 
        
purpose by the 
competent authority  

(2) Competent 
authority 
designated by the 
Member State  

Examiners 
designated by the 
competent authority 

Member State  

(2) Ditto (method 
not defined) 

- National 
competent 
authority, 
independent of 
training centres 

(1) Competent 
authority or with its 
authorisation  

(2) Competent 
authority  

- Issuing of 
licence 

- Licence: the 
competent authority  

(1) Competent 
authority   

(2) Competent 
authority 

- Harmonised 
complementary 
certificate: railway 
undertaking 

- Licence: the driver 

- Certificate: railway 
undertaking 

- (1) and (2): the 
driver  

- Air traffic 
controller 

- Community model: 
licence, harmonised 
complementary 
certificate 

- Periodic medical 
examination 

- Periodic checks 
(rolling stock and 
infrastructure)  

- Continuous training 

- (1) and (2): 
Community 
model 

- No Community 
model. Mutual 
recognition 

(1) Administrative 
validity to be 
renewed 

(2) Harmonised 
periodic medical 
examinations and 
continuous 
training 

- Periodic 
verification of 
physical and mental 
fitness (renewal) 

- Obligatory 
minimum number 
of hours of activity 
required for 
renewal 

- Licence 
holder 

Licence 
structure  

Monitoring 
and 
inspection 
system 

(1) Seafarers  

(2) The driver 

(1) No EU model 

(2) Community 
model  

(1) Valid for five 
years 

(2) Valid up to the 
age of 65 

5. 

PRE-LEGISLATIVE CONSULTATION 

The  Commission  has  consulted  stakeholders  on  the  basis  of  a  consultative  document 
published on its Europa website on 2 July 2003. This document was presented, at a hearing 
organised  by  the  Commission  on  16  July  2003,  to  all  the  representatives  of  the  sector: 
infrastructure managers, railway undertakings, social partners and service companies.  

The  document  has  aroused  considerable  interest:  about  thirty  official  reactions  have  been 
received and published on the Europa website. The principle of a legislative proposal to adopt 
Community rules on the certification of train drivers has been favourably received. However, 
there have been calls for a very cautious approach with regard to the economic impact which 
such  a  proposal  would  have  as  it  imposes  new  certification  and  documentation  procedures. 
There  have  also  been  many  comments  on  details  of  the  mechanisms  proposed  and  on  the 
minimum requirements to be verified. The Commission has taken most of these on board.  

This round of consultation and all of the above elements have led to the firm conclusion that, 
in order to guarantee the requisite uniformity and transparency, the Community should draw 
up a single certification model in accordance with the principle of mutual recognition, while 
leaving responsibility for issuing a basic licence to the Member State of origin, in accordance 

10 

 
 
  
 
 
 
 
 
 
 
 
 
with the subsidiarity principle, and the task of issuing a harmonised complementary certificate 
reflecting specific authorisations to the railway undertaking.  

The provisions of this proposal for a directive form part of the common transport policy and 
contribute  to  attaining  the  objectives  of  the  Community’s  policies  on  the  free  movement  of 
workers,  the  freedom  of  establishment  and  the  freedom  to  supply  services  while  avoiding 
risks of distorting competition. 

6. 

PRINCIPLES AND STRUCTURE OF THE DIRECTIVE 

6.1 

Scope 

The  Commission  has  chosen  initially  to  limit  the  implementation  of  this  proposal  for  a 
directive  to  train  drivers  in  cross-border  services  who  effectively  work  in  the  framework  of 
interoperability.  

When  the  proposal  was  being  drafted,  it  became  clear  that  implementation  in  two  stages 
would be the most appropriate approach. The main aim is swiftly to apply provisions on the 
certification of drivers who are most directly affected by the opening-up of the railway market 
and who have to operate in the territory of other Member States. It is in this context that the 
requirements connected with railway safety are imperative and a matter of urgency. 

In the second phase, the Commission intends, on the basis of a report covering the first phase, 
to  extend  the  implementation  of  the  European  licence  to  all  train  drivers,  taking  account  of 
exceptions  which  were  already  provided  for  in  the  scope  of  the  proposal  for  a  directive  on 
safety and which form part of the second railway package.  

Similarly, other members of the train crew who are indirectly involved in traffic safety will be 
dealt with later on. 

6.2 

A single model for the certification of train drivers 

In  order  to  ensure  that  the  documents  certifying  a  person’s  ability  to  drive  trains  are 
standardised in terms of form and content, the Community, in this proposal for a  Directive, 
defines a Community model for certification, in which the validity of the various component 
parts will be recognised by each of the Member States.  

Ideally, drivers should hold a single document in the form of a smart card (containing a chip). 
The  card  would  be  issued  by  the  competent  authority,  while  the  information  relating 
specifically to infrastructure, rolling stock and periodic checks would be stored on the chip by 
the competent authority or, by delegation of powers, by the railway undertaking or any other 
body authorised for this purpose.  

During  the  pre-legislative  consultation,  however,  railway  undertakings  resolutely  opposed 
introducing this system immediately for the following reasons:  

– 

the specifications for a smart card of this kind are not yet available,  

–  considering  the  number  of  operations  required  to  update  the  card,  the  competent 
authority  would  be  obliged  to  delegate  these  operations  to  railway  undertakings,  which 
would have to procure the costly equipment needed;  

11 

 
 
  
 
it  is  not  clear  that  this  kind  of  system  affords  any  added  value,  given  the  limited 

– 
number of train drivers working on cross-border services.  

The Commission is therefore proposing that the measure be implemented in two phases: 

– 
in the short term, certification will produce two sections: (a) the licence itself, a card 
in the same format as the European driving licence, issued by the competent authority on 
the  basis  of  Community-wide  criteria  and  recognised  reciprocally,  and  (b)  a  harmonised 
certificate, issued by the railway undertaking which employs the driver, confirming that the 
driver has the specific knowledge required (rolling stock, infrastructure, periodic checks); 

– 
in  the  longer  term,  the  two  component  parts  will  be  incorporated  into  a  smart  card, 
which meets operational and technical specifications to be defined through the comitology 
procedure.  

In order to ensure that the Community legislative framework on rail safety is as consistent as 
possible, the authority responsible for issuing the licence will be the national safety authority 
which  is  to  be  established  in  accordance  with  Article 15  of  the  draft  rail  safety  directive 
[COM(2002)21]. This authority will also be responsible for setting up a national register of 
licences,  which  must  make  it  possible  to  find  the  key  data  relating  to  a  driver’s  actions  to 
gain and upgrade skills.  

If Member States apply the principle of reciprocal recognition to the licences and harmonised 
complementary certificates drawn up in accordance with the Community model, this should 
facilitate  drivers’  ability  to  move  both  from  one  Member  State  to  another  and  from  one 
railway undertaking to another. This level of mobility seems essential, given the prospect of 
increased opening up of the rail market, and consistent with the various freedoms enshrined 
in the Treaty in connection with the establishment of a single market in the sector. 

6.3 

Definition of minimum requirements to obtain a driver’s certificate  

In accordance with what emerged from the consultation procedure and the preparatory work, 
the requirements must include at least the minimum age for train drivers, criteria related to the 
medical and psychological fitness of candidates, their professional experience and knowledge 
in a number of fields related to train driving, as well as their knowledge of the infrastructure 
on which they will have to operate. 

It should be stressed that these are minimum requirements. A Member State may, if it wishes, 
impose  additional  requirements  for  the  issue  of  drivers’  certificates  on  its  territory.  If, 
however, a train driver holding a certificate which complies with the provisions of this draft 
Directive needs certification in order to gain access to the territory of such a Member State, 
the  State  concerned  must  recognise  those  sections  of  the  certificate  which  are  equivalent  to 
the minimum requirements defined in the Directive and can therefore impose only additional 
training in respect of specific infrastructure (line knowledge, signalling, operating rules, etc.). 

In response to certain concerns and in order to maintain the European railway system’s high 
level  of  safety,  strict  requirements  are  defined  for  candidates’  language  skills.  Drivers  must 
have  a  knowledge  of  the  language(s)  indicated  by  the  relevant  infrastructure  manager(s)  to 
enable  them  to  communicate  actively  and  effectively  in  routine,  abnormal  and  emergency 
situations. 

12 

 
 
  
 
Retention  of  the  certificate  is  subject  to  periodic  checks  of  the  minimum  requirements 
necessary to ensure an optimum standard of service which meets clear safety requirements. 

Moreover, this draft Directive acknowledges the high standards of the training institutions and 
certification procedures which already exist in the Member States, but enables the authority 
normally  competent  to  delegate  some  of  its  tasks.  The  authority  continues  to  bear  full 
responsibility,  but  may  delegate  or  sub-contract  certain  tasks,  provided  that  these  tasks  are 
carried out in a transparent and non-discriminatory fashion, without any conflict of interest. 

6.4 

Training and assessment of skills  

Annex V  to  the  proposal  for  a  Directive  defines  a  general  training  programme  covering  the 
professional  knowledge  required  in  order  to  obtain  the  licence.  This  programme  is 
supplemented  by  training  objectives  relating  more  specifically  to  rolling  stock  and 
infrastructure; 
the  harmonised 
the  knowledge  required 
complementary certificate, as described in Annexes VI and VII of the proposal. 

to  obtain 

in  order 

this 

is 

Given that training opportunities are sometimes limited, Member States will have to publish 
the procedure for obtaining the licence and for the accreditation of the bodies responsible for 
training. Candidates must have access to training on a non-discriminatory basis.  

The  Member  States  must  also  specify  the  procedure  for  checking  the  skills  acquired  by 
candidates.  In  order  to  ensure  the  utmost  transparency  and  avoid  any  conflict  of  interest, 
boards of examiners must be made up of persons accredited by the national safety authority. 

6.5 

Inspections and penalties  

The validity and content of the licence and the harmonised complementary certificate may be 
checked at any time by the authority competent for the territory concerned.  

If a competent authority considers that a licence issued by the competent authority of another 
Member  State  or  a  harmonised  complementary  certificate  does  not  meet  the  minimum 
requirements,  the  draft  Directive  provides  for  a  procedure  to  object  to  the  certification, 
drawing  attention  to  the  matter  firstly  to  the  issuing  authority  (or  the  railway  undertaking), 
then, if necessary, to the Agency and, as a last resort, to the Commission. 

7. 

ECONOMIC IMPACT OF THE DIRECTIVE 

7.1 

Introduction 

The  economic  impact  of  the  Directive  was  assessed  by  drawing  up  a  plausible  reference 
scenario  (the  natural  development  of  the  situation  without  the  proposal)  and  a  scenario  in 
which  the  proposal  is  implemented  in  two  phases,  then  by  assessing  its  impact  in  terms  of 
costs and benefits in each of the two scenarios.  

This estimate came up against the problem that some information was not readily available; it 
is therefore based on a number of hypotheses, specifically:  

• 

• 

there is no public information on the costs borne by railway undertakings in respect of 
driver training and certification; 
the  Member  States  are  allowed  considerable  latitude  in  their  implementation  of  the 
proposed Directive, entailing an infinite number of potential scenarios;  

13 

 
 
  
 
• 

it  is  impossible  to  describe  exactly  the  reference  scenario  that  reflects  the 
development of the regulatory framework without the proposed measure in a situation 
in which the Member States have total freedom to adopt legislation on the subject.  

7.2 

Reference scenario  

In  the  course  of  the  pre-legislative  consultation,  several  States  announced  their  intention  to 
introduce  a  national  legislative  framework  for  driver  certification  in  the  near  future  or,  in 
some cases, reported the legislative framework already in place. This trend is likely to become 
more  widespread,  as  the  forthcoming  rail  safety  directive  calls  upon  Member  States  to 
establish  national  rules  for  the certification  of  railway  undertakings.  If  no  action  is  taken  at 
European level, then there will soon be 15 – and later 25 – national certification procedures, 
which are likely to differ considerably one from the other, reflecting the traditional practices 
of each national railway company.  

In this scenario, solutions would have to be worked out on a case-by-case basis, according to 
the cross-border operations to be organised, as described in the final report of the Atkins study 
mentioned in Chapter 3. Drivers will be trained and certified first in one State, and will then 
have to go through a further cycle of training and certification in each new State in which they 
wish to work. This amounts to endlessly duplicating training with no predefined strategy, with 
all the wasted effort, costs and time that that could involve. 

7.3 

Scenario in which the Directive is implemented  

The proposed Directive will be implemented in two phases:  

–  Phase 1: initially it will apply only to drivers operating on cross-border services,  

–  Phase 2: then it will apply to all other drivers. 

The competent authority can assume one of two main roles: 

• 

• 

the competent authority acts only as a supervisory authority. The task of awarding the 
licence  is  delegated  to  a  railway  undertaking,  except  in  the  case  of  drivers  of  rival 
undertakings.  The  register  is  set  up  by  this  undertaking  or  by  a  neutral  third  party, 
such  as  the  infrastructure  manager.  The  railway  undertakings  issue  the  harmonised 
complementary certificates; 
the competent authority carries out every aspect of issuing licences and supervision. It 
awards licences and sets up the register, if necessary sub-contracting the technical and 
IT tasks. The railway undertakings issue the harmonised complementary certificates. 

In  either  case,  the  economic  impact  will  vary from one operator to another but, overall, the 
costs will be approximately the same. 

7.4 

Other hypotheses  

7.4.1  Number of drivers to be certified  

There are approximately 200 000 train drivers in the European Union of 25 Member States. 
At most 5% of all drivers, i.e. 10 000 drivers, are concerned by the first phase (cross-border 
services). An annual increase of 5% is expected, following increases in cross-border traffic, 
i.e.  500 drivers  annually.  An  annual  staff  turnover  of  5%  is  expected,  i.e.  500 drivers  each 
year.  This  means  that  there  will  be  1 000  drivers  to  be  certified  each  year  in  phase 1  but 
10 000 in phase 2.  

14 

 
 
  
 
Given the number of drivers to be certified, the two phases can overlap: the certification of all 
other drivers can begin before the certification of drivers involved in cross-border services has 
been completed.  

7.4.2  Costs related to examiners  

One  examiner  is  required  for  every  50 drivers,  so  the  requirement  is  for  20 independent 
examiners in phase 1 and 200 examiners in phase 2. These examiners are to be recruited from 
the ranks of existing drivers. This will generate additional costs evaluated at €1 000 per driver 
in phase 1 and €500 in phase 2, plus a flat-rate sum at the beginning of each phase. 

7.4.3  Costs related to accreditation 

These costs are based on the following hypothesis: one person per State required for one year 
in order to set up the system in phase 1, and twice that number in phase 2. In addition, one 
tenth of a person-year per State is needed annually to maintain the system.  

7.4.4  Costs related to production of the licence 

The  proposed  model  follows  the  model  of  the  European  driving  licence  for  motor  vehicles. 
The  licence  in  the  form  of  a  plastic  card  has  to  be  produced  for  millions  of  motor  vehicle 
drivers; production costs for volumes in this order have been evaluated at €0.20 per card.  

7.4.5 

Benefits associated with reducing the duration of training  

The 2002 Atkins Study showed that, in the case of the cross-border services studied, drivers 
are not able to cross borders without extensive training. By taking account of the international 
component from the outset, this Directive should make it possible to reduce both the duration 
of additional driver training and the necessary assessment associated with it. The training time 
saved  in  relation  to  the  average  time  needed  to  train  a  driver  has  been  estimated  as  at  least 
10%. 

7.4.6 

Benefits associated with reducing the duration of railway undertaking certification  

In  accordance  with  the  rail  safety  directive,  railway  undertakings  have  to  apply  for  safety 
certificates approving the arrangements made by the railway undertaking to fulfil the specific 
requirements necessary for the safe operation of the network in question. Requirements may 
cover the application of TSIs and national safety rules, procedures for issuing certificates to 
personnel  and  authorisation  for  putting  into  service  the  rolling  stock  used  by  the  railway 
undertaking.  For  personnel,  certification  is  based  on  the  documentation  provided  by  the 
railway  undertaking  concerning  the  selection  of  various  categories  of  the  staff  of  the 
undertaking or its contractors, including evidence that the staff fulfil the requirements of the 
TSIs or national rules and that they have been duly certified.  

This Directive should help reduce the time which the railway undertaking needs to prepare the 
documentation and the time which the national safety authority needs to assess it. 

The  following  figures  for  the  European  Union  with  15  members  are  drawn  from  a  recent 
NERA study: 

•  Approximately 800 000 European railway employees,  
•  Average salary cost: €40 000/year,  
•  Total wage and salary bill: €32 billion/year,  

15 

 
 
  
 
•  Personnel costs, representing on average 50% of operating costs,  
•  Average operating costs: €64 billion/year,  
• 

Income,  representing  on  average  70%  of  operating  costs,  i.e.  approximately 
€44.8 billion/year,  

•  Freight  accounts  for  approximately  30%  of  total  income,  i.e.  approximately 

€13.44 billion/year.  

The benefits for established undertakings and new entrants are not identical, but cutting one 
month  from  the  procedure  for  obtaining  the  safety  certificate  for  cross-border  operations 
represents a considerable saving in both administrative costs and start-up costs. Considering 
the  above  figures  and  extrapolating  from  the  European  Union  of  15 Member  States  to  that 
with 25 Member States on the basis of population numbers (NERA found that the relationship 
between  traffic  levels  is  approximately  the  same  as  between  population  levels),  it  is 
reasonable to assume a mean annual benefit of €5.3 million.  

7.4.7 

Benefits associated with reducing risks  

Railway  undertakings  are  responsible  for  selecting  and  training  their  drivers.  This  proposal 
imposes minimum conditions for driver selection and training as well as a driver certification 
process.  This  Directive  will  therefore  help  reduce  certain  rail  safety  risks,  such  as  those 
engendered  by  undertakings  which  do  not  apply  the  minimum  conditions  for  staff  selection 
and training or certain aspects of the certification process. 

By  way  of  example,  a  UIMC  working  group  (International  Union  of  Railway  Medical 
Services)  recently  investigated  the  question  of  the  psychological  assessment  of  personnel 
carrying  out  safety-critical  duties.  Their  September  2003  report  recommends  the  systematic 
use of psychological tests when selecting staff and as part of medical examinations after the 
age of 50, but also if there is any doubt as to an individual’s fitness to perform safety-critical 
tasks. The report shows that accidents could have been avoided if action had been taken after 
tests had shown certain indications.  

Accordingly, the requirements to use accredited examiners, to establish minimum conditions 
to be adhered to, to check certain criteria regularly and to certify personnel, adhering to key 
stages, are all aspects which help to reduce the risks of error, incident and accident.  

It is no easy matter to quantify benefits of this kind. By way of example, the benefit evaluated 
by  ECORYS  in  the  current  cost-benefit  analysis,  under  Directive  2001/16/EC,  for  the 
implementation  of  ERTMS  over  a  twenty-year  period  is  €6.5 million;  this  is  a  net  present 
value (NPV) based on a reduction in the number of fatalities evaluated as 14. This value does 
not  take  into  account  the  benefits  derived  from  reducing  the  extent  of  serious  injury  and 
material  damage  and  is  limited  to  the  impact  on  the  territory  of  the  European  Union  of 
15 Member  States.  Another  source  is  the  economic  analysis  carried  out  for  the  technical 
specification for interoperability relating to the “high-speed” control-command and signalling 
subsystem  in  2000,  which  gave  an  NPV  of  €3.7 million.  These  studies  are  based  on  the 
hypothetical value of €1.5 million par fatal accident.  

7.4.8 

Benefits associated with greater mobility between undertakings 

The Directive will make it easier for drivers to be recruited by different undertakings. It will 
therefore reduce the social costs in the event of the closure of restructuring of undertakings. 
On  the  other  hand,  more  train  drivers  may  move  on  their  own  personal  initiative,  entailing 

16 

 
 
  
 
 
additional  recruitment  costs.  The  creation  of  a  genuine  train  drivers’  market  within  the 
European  Union  is  likely  to  make  the  career  more  attractive.  The  renewed  dynamism 
anticipated in the European rail market should in time boost recruitment prospects. 

7.5 

Comparative table  

The values are given in constant non-discounted euros. 

Reference scenario   Directive – Phase 1   Directive – Phase 2  

Costs 

Average cost of 
training a driver  

Requirement for 
independent 
examination  

€45 000 

No impact 

No impact 

Approximately 
€35 million  

Approx. €1000/driver 

Approx. €500/driver 

i.e. €1 million/year,  

i.e. €5 million/year,  

Requirement for 
accreditation  

Approximately 
€6 million  

plus  €1 million 
2007  

i.e.  €11 million 
total 

in 

in 

plus  €10 million 
2009 

i.e.  €60 million 
total 

in 

in 

€1 million in 2006, 

€5 million in 2008, 

plus 
€0.1 million/year 

plus 
€0.5 million/year 

i.e. €2 million 

i.e. €10 million 

Setting-up and 
administration of the 
register  

Approximately 
€34 million  

€1 million  per  State 
in 2006,  

€0.1 million/year  per 
State 

Production  of 
paper-based 
(€60/licence) 

the 
licence 

Approximately 
€12 million 

Production of the EU 
licence  

None 

i.e. €23 million 

plus 
€0.1 million/year  per 
State 

i.e. €46 million 

None 

None 

€2 million in 2006,  

€200 000 per year 

then €40 000 per year 

i.e. €2 million 

i.e. €2.4 million 

Production of 
harmonised 

None  

€60 000 per year 

€60 per licence 

17 

 
 
  
 
 
 
 
 
certificates 

i.e. €0.6 million 

i.e. €12 million  

TOTAL costs 

Approx. €87 million  €62 million 

€107 million 

Benefits 

Benefit: reduction in 
driver training for a 
2nd country  

Benefit: reduction in 
driver certification 
for a 2nd country 

Benefit: reduction in 
undertaking 
certification time   

Approximately 
€26.5 million 

Benefit: risk 
reduction 

Approximately 
€14 million 

None  

€4.5 million/year 

€4.5 million/year 

i.e. €45 million  

i.e. €45 million  

None  

€0.1 million/year 

€0.1 million/year 

i.e. €1 million  

i.e. €1 million  

€5.3 million per year 

€5.3 million per year 

i.e. €53 million 

i.e. €53 million 

€7 million 

€21 million 

Benefit: mobility 
between undertakings 

Approx. €20 million 
for social costs  

None  

None  

TOTAL benefits  

Approximately 
€20.5 million  

€106 million 

€120 million 

BALANCE 

- €66.5 million 

+ €44 million 

+ €13 million 

7.6 

Conclusions 

Without the Directive, maintaining the existing situation would entail a loss of €66.5 million 
for the 25 States in the coming years. 

If the Directive is accepted, the Member States would not only avoid this loss but could also 
expect a benefit of €44 million for the first phase (certification of drivers operating on cross-
border services) and €13 million for the second phase (certification of all other drivers).  

8. 

COMMENTS ON THE ARTICLES OF THE DIRECTIVE 

Article 1 

This  Article  specifies  the  objectives  of  the  proposal  for  a  Directive  while  confirming  the 
responsibilities of the infrastructure managers and railway undertakings.  

Article 2 

This Article defines the terms used in the Directive.  

Article 3 

18 

 
 
  
 
 
 
 
This  Article  specifies  the  scope  of  the  Directive.  It  is  aimed  not  only  at  drivers  but  also  at 
other train crew on the locomotive or train who participate directly or indirectly in driving and 
whose  professional  qualifications  therefore  contribute  to  transport  safety.  During  the  pre-
legislative  consultation,  several  experts  and  authorities  called  for  European  rules  for  the 
certification of personnel assigned to safety-critical tasks; this request was also the subject of 
amendments  by  the  European  Parliament  at  the  first  and  second  readings  of  the  second  rail 
package.  

Article 4 

This  Article  specifies  the  Community  model  for  certification  and  refers  to  Annex I.  The 
model comprises three sections: the licence itself, the harmonised complementary certificate, 
and the information to be entered in the national register. 

Article 5 

This  Article  specifies  the  bodies  responsible  for  issuing  the  licence  and  the  harmonised 
certificate. 

Article 6 

This  Article  specifies  the  validity  of  the  licence  and  of  the  harmonised  complementary 
certificate. 

Articles 7 to 11 

These  Articles  specify  the  requirements  to  be  met  in  order  to  obtain  the  licence  and  the 
harmonised complementary certificate. 

Article 14 

This Article specifies the conditions which drivers must fulfil in order to be able to retain the 
licence and the harmonised complementary certificate. In particular, they concern the periodic 
checks such as medical examinations and checks of line knowledge. 

Article 15  

This  Article  specifies  the  impact  on  the  licence  when  drivers  move  from  one  railway 
undertaking to another, or when they cease to be employed by an undertaking.  

Article 16 to 19 

These Articles specify the tasks of the authorities competent to issue licences and the system 
for delegating such tasks. 

Article 20 

This Article specifies the requirements for recording data throughout the driver certification 
process.  

Articles 21 to 24 

These Articles specify the training, examination and independent assessment procedures. 

19 

 
 
  
 
Article 25 

This Article specifies the provisions applicable to other train crew on the locomotive or train 
who  participate  directly  or  indirectly  in  driving  and  whose  professional  qualifications 
therefore contribute to transport safety.  

Articles 26 and 27 

These Articles cover the inspections that may be carried out by the competent authority and 
the penalties for which the Member States should provide.  

Articles 28 

This Article sets out the possibilities for derogations. The exceptions authorised are identical 
to those provided for in the Directive on rail safety. 

Articles 29 and 30 

Standard  provisions  regarding  the  amendment  of  Annexes  and  the  committee  procedure.  It 
should  be  noted  that  the  competent  committee  will  be  the  committee  set  up  in  accordance 
with the interoperability directives, which will also be the competent body for the Directive 
on rail safety.  

Article 31 

The  Agency  is  required  to  monitor  the  implementation  of  this  Directive  and  to  draw  up  a 
report  on  the  progress  of  certification.  This  report  will  make  it  possible  to  take  the  action 
necessary before applying the Directive to all the drivers and other train crew concerned.  

Articles 32 and 33 

Standard provisions on the incorporation of the Directive into national legislation.  

Article 34 

This Article proposes the gradual implementation of the Directive: firstly, transposition into 
national legislation and the creation of the national registers, then the certification of drivers 
assigned to cross-border services and, lastly, the certification of other drivers and train crew 
concerned. This Article also specifies the arrangements for drivers already working or in the 
process  of  obtaining  certification  in  accordance  with  the  rules  applicable  prior  to  the  entry 
into force of this Directive.  

ANNEX I 

This  Annex  specifies  the  Community  model  for  each  component  of  the  certification:  the 
licence, the harmonised certificate, the information to be included in the register. 

ANNEX II 

This Annex identifies the driver’s duties. 

20 

 
 
  
 
ANNEX III 

The basic requirements for the selection of drivers are specified: length of education, medical 
examinations, language tests. The necessary periodic checks are also specified. This Annex is 
based to a great extent on the agreement of the social partners concluded on 27 January 2004. 

ANNEX IV 

This Annex specifies the criteria which the general training programme and the examinations 
must adhere to. 

ANNEX V 

The  objectives  for  general  professional  knowledge  are  specified.  This  Annex  is  based  to  a 
great extent on the agreement of the social partners concluded on 27 January 2004. 

ANNEX VI 

The objectives for professional knowledge relating to rolling stock are specified. This Annex 
is  based  to  a  great  extent  on  the  agreement  of  the  social  partners  concluded  on  27 January 
2004. 

ANNEX VII  

The objectives for professional knowledge related to infrastructure are specified. This Annex 
is  based  to  a  great  extent  on  the  agreement  of  the  social  partners  concluded  on  27 January 
2004. 

9. 

SUBSIDIARITY  

The  proposed  Directive  seeks  to  establish  a  common  regulatory  framework  for  the 
certification of train crew on board locomotives and trains carrying passengers and freight. It 
will  facilitate  the  interoperability  of  driving  personnel,  thus  increasing  international  rail 
traffic,  and  maintaining  or  even  improving  safety  levels  and  guaranteeing  the  performance 
standards  of  driving  personnel  by  ensuring  and  checking  the  skills  required  for  the  relevant 
European  networks  used.  It  will  also  help  to  make  the  methods  used  for  managing  drivers 
involved  in  interoperability  more  effective  for  railway  companies  and  to  reduce  the  risk  of 
social dumping.  

Since these objectives cannot be sufficiently achieved by the Member States alone, as shown 
by the Commission study carried out in 2002 (Chapter 3), and can be better achieved by the  
Community, as shown by the above economic impact assessment (Chapter 7), the Community 
may adopt measures, in accordance with the principle of subsidiarity enshrined in Article 5 of 
the Treaty. In accordance with the principle of proportionality laid down in this Article, the 
Directive does not go beyond what is necessary to achieve these objectives. 

10. 

FINANCIAL IMPACT  

This proposal does not include a financial statement.  

21 

 
 
  
 
 
An existing Committee (Directive 96/48/EC, Article 21) will be used for the decision-making 
procedures established by this proposal. The cost of any additional meetings will be entered 
under the budget heading of this committee. 

The resulting costs for the Agency will be borne by the Agency; they are already partly taken 
into  account  in  the  financial  statement  accompanying  the  draft  Regulation  establishing  the 
Agency, which is part of the second railway package. In accordance with the Regulation, it is 
the responsibility of the Executive Director of the Agency, to propose, if necessary, increasing 
the budget to suit actual needs.  

22 

 
 
  
 
2004/0048 (COD)  

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 

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 Commission17, 

Having regard to the opinion of the European Economic and Social Committee18, 

Having regard to the opinion of the Committee of the Regions19, 

Acting in accordance with the procedure laid down in Article 251 of the Treaty20, 

Whereas:  

(1) 

(2) 

(3) 

17 
18 
19 
20 
21 
22  

Directive 2004/xxx/EC  of  …  of  the  European  Parliament  and  of  the  Council  on 
railway safety21 requires infrastructure managers and railway undertakings to establish 
their safety management system 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. 
This  safety  management  system  provides,  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. 

Directive 2004/xxx/EC [on railway safety] provides that, to be able to gain access to 
railway infrastructure, a railway undertaking must hold a safety certificate.  

Under  Council  Directive  91/440/EEC  of  29  July  1991  on  the  development  of  the 
Community's railways22, 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 

OJ C ,  p. . 
OJ C ,  p. . 
OJ C ,  p. . 
OJ C ,  p. . 
OJ L […], […], p. […]. 
OJ L 237, 24.8.1991. Directive last amended by the Act of Accession of 2003. 

23 

 
 
  
 
                                                 
second  railway  package23  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. 

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. 

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. 

To  guarantee  the  necessary  uniformity  and  transparency,  the  Community  should 
establish  a  single  certification  model,  mutually  recognised  by  the  Member  States, 
attesting  both  to  train  crews’  compliance  with  certain  requirements  and  basic  fitness 
and to their competence, leaving it to the Member States to issue the basic licence and 
to railway undertakings to issue a harmonised complementary certificate.  

to  another,  and  generally  for 

The  aim  of  these  common  provisions  must  above  all  be  to  make  it  easier  for  train 
drivers  to  move  from  one  Member  State  to  another,  but  also  from  one  railway 
undertaking 
the  harmonised 
complementary certificate to be recognised by all railway sector stakeholders. 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. 

licence  and 

the 

The  requirements  must  cover  at  least  the  minimum  age  for  driving  a  train,  the 
applicant’s physical 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. 

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 data24, 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 data25. 

Communication of 23 January 2002 from the Commission to the Council and the European 
Parliament – “Towards an integrated European railway area”, COM(2002) 18. 

OJ  L 281, 23.11.1995, p. 31.  

OJ L 8, 12.01.2001, p. 1.  

24 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

23  

24  

25  

 
 
  
 
                                                 
 
(10)  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/xxx/EC  on  railway  safety  and  to  speed  up  the  issuing  of  the  safety  certificates 
provided for in the same articles. 

(11)  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 Commission26. 

(12)  Member States must provide for inspections and penalties appropriate to infringements 

of the national provisions for implementing this Directive. 

(13)  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. 

(14)  Since  a  common  regulatory  framework  for  the  certification  of  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: 

26 

OJ L 184, 17.7.1999, p. 23. 

25 

 
 
  
 
                                                 
Chapter I 
Subject matter, scope and definitions 

Article 1 
Subject matter 

This  Directive  lays  down  the  conditions  and  procedures  for  the  certification  of  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 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 crews pursuant to 
Article 9 of and Annex III to Directive 2004/xxx/EC on railway safety. 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: 

Article 2 
Definitions 

(a) 

(b) 

(c) 

(d) 

(e) 

"competent  authority"  means  the  authority  appointed  by  the  Member  State  to  issue 
the  driver's  licence  after  establishing  that  the  applicant  meets  the  necessary 
requirements.  This  is  the  national  safety  authority  set  up  under  Article  16  of 
Directive 2004/xxx/EC [on railway safety]; 

"train driver" means a person capable of driving shunting locomotives, 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 train drivers and other staff on the locomotive or train who have 
an  indirect  role  in  driving  it  and  whose  professional  qualifications  accordingly 
contribute to traffic safety; 

"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 
includes 
undertakings which provide traction only; 

the  undertaking  must  ensure 

this  also 

traction; 

that 

26 

 
 
  
 
(f) 

(g) 

(h) 

(i) 

"technical  specifications  for  interoperability"  or  "TSIs"  means  the  specifications 
adopted  under  Council  Directive  96/48/EC27  and  Directive  2001/16/EC28  of  the 
European  Parliament  and  of  the  Council,  which  must  be  complied  with  in  order  to 
ensure the interoperability of the trans-European rail system;  

"Agency" means the European Railway Agency established by Regulation [(EC) No 
…/2004 [of the European Parliament and of the Council] 29; 

"safety  certificate"  means  the  certificate  issued  to  a  railway  undertaking  by  the 
national safety authority in accordance with Article 10 of Directive 2004/xxx/EC [on 
railway safety]; 

"safety authorisation" means the certificate issued to an infrastructure manager by the 
safety authority in accordance with Article 11 of Directive 2004/xxx/EC on railway 
safety; 

Article 3 
Scope 

The purpose of this Directive is the certification of 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. 

Chapter II 
Certification of drivers 

Article 4 
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  driver  and  the  authority  issuing  the  certificate  and 
stating the duration of validity. The licence shall be the property of the driver 
and  shall  be  issued,  on  application,  to  the  driver  who  satisfies  the  minimum 
conditions  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 drivers employed by the infrastructure manager, that of the latter, 

27 
27 
28 
29 

OJ L […], […] 
OJ L 235, 17.9.1996, p. […].  
OJ L 235, 17.9.1996, p. 6. 
OJ L […], […]  

27 

 
 
  
 
 
                                                 
2. 

(a) 

(b) 

(c) 

3. 

1. 

2. 

1. 

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. 

The harmonised complementary certificate shall authorise driving in one or more of 
the following categories: 

category A: shunting locomotives and work trains; 

category B: carriage of passengers; 

category C: carriage of goods. 

With regard to the licence referred to in paragraph 1(a) above, the general system for 
the recognition of professional qualifications established by Council Directive 92/51 
shall  still  apply  to  the  recognition  of  the  professional  qualifications  of  drivers  who 
are nationals of a Member State and have obtained their training certificate in a third 
country. Drivers whose professional qualifications are recognised on this basis shall 
have to be issued certificates in accordance with this Directive. 

Article 5 
Issuing bodies 

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. 

The  harmonised  certificate  referred  to  in  Article  4(1)(b)  shall  be  issued  by  the 
railway  undertaking  which  employs  the  driver  or,  where  appropriate,  by  the 
infrastructure manager. 

Article 6 
Mutual recognition 

Once 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.  

28 

 
 
  
 
 
Chapter III 
Conditions and procedure for obtaining the licence and the 
harmonised complementary certificate 

Article 7 
Minimum requirements 

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 be more demanding with regard to the 
issuing of licences on its own territory.  

Article 8 
Minimum age 

Applicants shall be at least 20 years of age. However, Member States may issue licences from 
the  age  of  18  years,  the  validity  of  such  a  licence  then  being  limited  to  the  territory  of  the 
issuing Member State. 

Article 9 
Training and basic skills 

1. 

2. 

3. 

4. 

Applicants  shall  have  received  basic  training  equivalent  to  level  3  as  referred  to  in 
Council Decision 85/368/EEC30 and satisfy the requirements laid down in Annex III. 

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. 

Applicants  shall  demonstrate  their  psychological  fitness  by  passing  an  examination 
conducted by a psychologist recognised by the competent authority. The examination 
shall cover at least the criteria indicated in Annex III, point 2.2. 

The  basic  linguistic  knowledge  criterion  referred  to  in  Annex  III,  point  5,  shall  be 
met  and  shall  be  checked  whenever  drivers  have  to  travel  on  new  infrastructures 
involving new linguistic requirements. 

30  

OJ L 199, 31.7.1985, p. 56. 

29 

 
 
  
 
                                                 
 
Article 10 
 Professional experience 

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 categories B and C. 

1. 

2. 

3. 

4. 

1. 

2. 

3. 

Article 11 
 Professional qualifications 

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.  

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. 

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. 

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). 

Article 12 
Application for the licence 

The competent  authority shall publish  the procedure to be followed for obtaining a 
licence, together with the necessary forms. 

All  licence  applications  shall  be  lodged  with  the  competent  authority  by  the 
candidate driver's employer or by the candidate driver. 

Applications submitted to the competent authority may concern: 

(a) 

the  granting  of  a  new  licence:  this  may  be  a  matter  of  a  novice  driver  or  a 
person who was already a driver before this Directive entered into force, or a 
request for a duplicate; 

(b) 

an  update:  one  or  more  of  the  licence  particulars  have  changed  and  must  be 
updated. 

30 

 
 
  
 
Article 13 
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  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. 

Article 14  
Periodic checks 

1. 

In  order  to  keep  the  licence  and  the  harmonised  certificate,  holders  shall  undergo 
periodic examinations and/or tests relating to the conditions referred to in Articles 9 
and 11. The following minimum frequency shall be observed:  

(a)  medical examinations (physical and mental fitness): every three years up to the 

age of 60, thereafter every year; 

(b) 

(c) 

line  knowledge:  to  be  determined  by  the  competent  authority  of  the  Member 
State concerned; 

knowledge  of  rolling  stock:  to  be  determined  by  the  railway  undertaking 
employing the driver in accordance with its own safety management system. 

For each of these checks the railway undertaking shall affirm by a statement in the 
harmonised  certificate  and  in  the  register  provided  for  in  Article  20  that  the  driver 
has met these requirements. 

2. 

Without  prejudice  to  the  periodic  checks  required  in  paragraph  1,  railway 
undertakings and infrastructure managers shall set up a system for monitoring their 
drivers. If the results of such monitoring call into question a driver's fitness for the 
job  and  the  continuation  of  the  licence  or  the  harmonised  certificate,  the  employer 
shall take the necessary action immediately. If necessary it shall ask the competent 
authority to withdraw the licence. 

Article 15 
Cessation of employment 

When a driver ceases to be employed by a railway undertaking, 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. 

31 

 
 
  
 
1. 

2. 

3. 

1. 

2. 

3. 

Article 16 
 Amendments and withdrawals 

If  there  is  any  change  in  a  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  driver,  as  appropriate,  shall  inform  the  competent 
authority without delay 

If the competent authority finds that a driver no longer satisfies one or more required 
conditions,  it  shall  immediately  withdraw  the  licence  and,  where  appropriate,  the 
harmonised  complementary  certificate.  It  shall  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. 

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 drivers in service are valid. 

Chapitre V 

Tasks and decisions of the competent authority  

Article 17 
 Tasks of the competent authority 

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. 

The  competent  authority  may  delegate  or  subcontract  the  tasks  referred  to  in 
paragraph  4  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. 

When  the  competent  authority  delegates  or  subcontracts  tasks  to  a  railway 
undertaking, at least one of the following two conditions shall be complied with: 

(a) the railway undertaking shall issue licences only to its own drivers; 

(b) the railway undertaking shall not enjoy exclusivity in the territory concerned for 
any of the delegated or subcontracted tasks. 

32 

 
 
  
 
 
 
4. 

The tasks referred to in (a) to (e) may be delegated subject to the conditions attached 
to them: 

–  (a)  the  testing  of  physical  and  mental  fitness  shall  be  carried  out  by  medical 
doctors or occupational health institutes accredited by the competent authority; 

–  (b)  the  testing  of  psychological  fitness  shall  be  carried  out  by  psychologists  or 

occupational psychology institutes accredited by the competent authority; 

–  (c) the testing of general professional knowledge shall be carried out by institutes 

or examiners accredited by the competent authority; 

–  (d) the granting of new licences and the updating of licences may be delegated to 

third parties accredited by the competent authority; 

–  (e) 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. 

5. 

6. 

7. 

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. 

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 2 and 3 are being complied with. 

The testing of professional knowledge relating to the rolling stock and infrastructures 
shall be carried out by the railway undertaking. 

Article 18 
 Accreditation 

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 relevant EN 45000 series European standards and 
on the evaluation of a dossier submitted by candidates which provides appropriate evidence of 
their skills in the area in question. 

The competent authority shall publish and update a register of persons and bodies accredited 
under this Directive. 

Article 19 
 Decisions of the competent authority 

1. 

2. 

The competent authority shall state the reasons for its decisions. 

The  competent  authority  shall  set  up  an  administrative  appeals  procedure  allowing 
employers and 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). 

33 

 
 
  
 
3. 

Member  States  shall  take  the  necessary  steps  to  ensure  juridical  control  of  the 
decisions taken by a competent authority. 

Article 20 
 Registers and exchange of information 

1. 

The competent authorities shall be required to: 

(a) 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 driver. It shall be 
regularly updated; 

(b) supply information on the status of such licences to the competent authorities of 
the other Member States, the Agency or any employer of drivers who wishes to know 
or to check certain particulars during a recruitment procedure. 

2. 

The railway undertakings shall be required to: 

(a)  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; 

(b) 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;  

(c) supply information on the status of such certificates to the competent authorities 
of the other Member States. 

The  competent  authorities  shall  cooperate  with  the  Agency  in  order  to  ensure  the 
interoperability of the registers. To this end the Commission shall adopt, according to 
the procedure referred to in Article 30(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. 

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. 

The  Agency  shall  make  sure  that  the  system  set  up  under  paragraph  2(a)  and  (b) 
complies with Regulation (EC) No 45/2001.  

3. 

4. 

5. 

34 

 
 
  
 
 
Chapter VI 

Training of drivers  

Article 21 
Training 

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)  

b) 

either by the relevant technical specifications for interoperability;  

or by the criteria proposed by the Agency pursuant to Article 17 of Regulation 
(EC)  No .../2004  and  adopted  by  the  Commission  in  accordance  with  the 
procedure referred to in Article 30(2). 

2. 

3. 

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. 

Pursuant  to  Article [13]  of  Directive 2004/xxx/EC  [on  rail  safety],  Member  States 
shall take steps to ensure that drivers have fair and non-discriminatory access to the 
training  needed  to  fulfil  the  conditions  for  obtaining  the  licence  and  the 
complementary harmonised certificate. 

Article 22 
Examinations 

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  competent  examiners  accredited  by  the  competent  authority;  they  shall  be  organised  in 
such a way as to avoid any conflict of interest. 

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 30(2).  In  the  absence  of  such  Community  criteria,  the  competent  authorities  shall 
establish national criteria. 

35 

 
 
  
 
Chapter VII 

Assessment 

Article 23 
Quality standards  

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.  

Article 24 
Independent assessment  

1. 

2. 

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. 

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. 

Chapter VIII 

Certification of other staff 

Article 25 
Provisions applicable to other staff  

Apart  from  the  driver,  any  staff  member  present  on  board  the  locomotive  or  train  and 
indirectly  involved  in  driving  the  locomotive  or  train  shall  be  in  possession  of  a  certificate 
issued by the competent authority in accordance with the provisions of this Article. 

Articles 4 to 24 shall apply mutatis mutandis to the abovementioned staff, except with regard 
to the criteria to be met regarding training, basic skills and professional qualifications.  

These criteria shall be laid down: 

36 

 
 
  
 
 
–  either through the relevant TSIs;  

–  or  through  the  criteria  proposed  by  the  Agency  in  the  framework  of  Article 17  of 
Regulation  (EC)  No .../2004  and  successively  adopted  by  the  Commission  in  accordance 
with the procedure described in Article 30(2). 

In the absence of such Community rules, the competent authority shall establish and publish 
the minimum requirements to be met. 

Chapter IX 

Inspections and penalties 

Article 26 
State controls 

1. 

2. 

3. 

4. 

5. 

6. 

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. 

Notwithstanding verification as provided for in paragraph 1, 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). 

The  competent  authority  may  carry  out  administrative  enquiries  regarding 
compliance  with  this  Directive  by  drivers,  railway  undertakings,  infrastructure 
managers,  assessors  and  training  centres  pursuing  their  activities  in  their  areas  of 
jurisdiction. 

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.  

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 . 

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 

37 

 
 
  
 
 
to  the  Committee  mentioned  in  Article 30(1),  and  the  Commission  shall  take 
whatever  measures  are  necessary  in  accordance  with  the  procedure  set  out  in 
Article 30(2). 

Article 27 
Penalties  

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 33 at the latest and shall notify it without delay of 
any subsequent amendment affecting them. 

Chapter X 
Final provisions 

Article 28 

Derogations 

Member States may exclude from the measures they adopt in implementation of this 

Directive: 

a)  metros, trams and other light rail systems; 

b) 

c) 

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. 

Article 29 
Amendments to the annexes 

The  Annexes  shall  be  adapted  to  scientific  and  technical  progress,  in  accordance  with  the 
procedure referred to in Article 30(2). 

Article 30 
Committee 

1. 

The Commission shall be assisted by the Committee set up by Article 21 of Directive 
96/48/EEC. 

38 

 
 
  
 
 
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. 

Article 31 
Report 

The Agency shall evaluate the development of the certification of train drivers in accordance 
with this Directive. It shall submit to the Commission, not later than 1 January 2010, 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. 

Article 32 
Cooperation 

Article 33 
Transposition 

1. 

2. 

Member  States  shall  bring  into  force  the  laws,  regulations  and  administrative 
provisions necessary to comply with this Directive by […]31 at the latest. They shall 
forthwith  communicate  to  the  Commission  the  text  of  those  provisions  and  a 
correlation table between those provisions and this Directive. 

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. 

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. 
The Commission shall inform the other Member States thereof. 

31  

Twenty-four months following the date of entry into force. 

39 

 
 
  
 
 
                                                 
Article  34 
Gradual phasing-in 

1. 

This Directive shall be phased in gradually in stages as indicated below. 

a)  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. 

b) During the second stage (2008-2010), an initial group of drivers shall be certified 
in  accordance  with  this  Directive;  the  group  in  question  shall  consist  of  drivers 
assigned to cross-border services. At the end of this stage, the report produced by the 
Agency pursuant to Article 31 shall form the basis for a preliminary assessment. 

c) The third stage (2010-2015) shall involve the certification of the other drivers and 
other staff.  

A transition period shall be defined as  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  drivers  in  accordance  with  the 
provisions which applied prior to the entry into force of this Directive in the case of 
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. 

All 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 which shall continue to apply until the end of the transition period. 

During  the  second  stage,  the  Agency  shall  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  driver  management  purposes.  Where  appropriate,  the 
Commission  shall  adopt,  in  accordance  with  the  procedure  set  out  in  Article 30(2) 
and  on  the  basis  of  a  draft  prepared  by  the  Agency,  the  technical  and  operating 
specifications for such a smartcard. 

2. 

3. 

4. 

5. 

This Directive shall enter in force on the day following that of its publication in the Official 
Journal of the European Communities. 

Article 35 

40 

 
 
  
 
 
Article 36 

This Directive is addressed to the Member States. 

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

41 

 
 
  
 
 
 
COMMUNITY MODEL LICENCE AND COMPLEMENTARY CERTIFICATE 

ANNEX I  

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: 

a) 

the  words  “Train  driver’s  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 (optional); 

c) 

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; 

d) 

information specific to the certificate issued, numbered as follows: 

1. 

2. 

3. 

4. 

4. 

4. 

5. 

6. 

7. 

8. 

the surname of the holder; 

other name(s) of the holder; 

the date and place of birth of the holder; 

a. 

a. 

c. 

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); 

42 

 
 
  
 
 
e) 

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; 

f) 

the reference colours: 

- 

- 

blue: 

Pantone Reflex blue, 

yellow:  Pantone yellow. 

3. 

HARMONISED COMPLEMENTARY CERTIFICATE 

The harmonised complementary certificate shall contain: 

9. 

the  name  and  address  of  the  railway  undertakings  for  which  the  driver  is 

authorised to drive trains; 

10. 

the categories in which the holder is entitled to drive; 

11. 

the type of rolling stock which the holder is authorised to drive; 

12. 

the infrastructure on which the holder is authorised to drive; 

13. 

any additional information or restrictions. 

4. 

DATA CONTAINED IN NATIONAL REGISTERS 

a) 

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. 

b) 

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); 

43 

 
 
  
 
 
 
 
 
 
 
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. 

44 

 
 
  
 
ANNEX II 

Duties of train drivers 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

Before  departure,  carrying  out  the  prescribed  checks  in  particular  in  relation  to  the 
functioning and load capacity of the vehicle. 

Helping to check the effectiveness of the brakes. 

Driving locomotives in a proper and safe manner with due regard to signals, speed 
limits and schedules. 

Operating the safety deadman circuit and the train controlling system, and observing 
and operating instruments. 

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. 

Rectifying minor faults and taking steps to initiate repair work in the event of more 
serious faults to vehicles. 

Shunting the train safely. 

Dealing  with  routine  records  and  submitting  concise  written,  oral  or  computerised 
reports on unusual incidents. 

45 

 
 
  
 
 
 
 
 
 
ANNEX III 
BASIC REQUIREMENTS 

1. 

QUALIFICATIONS 

– 

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. 

46 

 
 
  
 
 
 
 
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.  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 physician to check the physical fitness of the driver if the employer had 
to withdraw the driver from service for safety reasons. 

At no time during their service must 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; 

–  sudden incapacity; 

–  a loss of balance or coordination; 

–  significant limitation of mobility. 

4.2 

Vision 

The following requirements as regards vision must be complied with: 

47 

 
 
  
 
–  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. 

4.4 

Pregnancy 

In the event of poor tolerance or a pathological condition, pregnancy must be considered to be 
a  reason  for  the  temporary  exclusion  of  drivers.  The  occupational  physician  (as  defined 
above) must ensure that the legal provisions protecting pregnant workers are applied. 

4.5 

Special health criteria for drivers 

4.5.1 

 Vision 

–  aided or unaided distance visual acuity: 1.2; at least 0.5 for the worst eye;  

–  ability to withstand dazzle; 

48 

 
 
  
 
–  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. 

4.5.3 

Anthropometrics 

The  anthropometric  measures  of  staff  must  be  suitable  for  the  safe  use  of  the  rolling  stock. 
Drivers  must  not  be  required  or  allowed  to  operate  particular  types  of  rolling  stock  if  their 
height, weight or other characteristics would make this unsafe. 

5. 

LANGUAGE TESTS 

Staff  responsible  for  controlling  rail  traffic  must  be  able  to  use  the  messages  and 
communication method described in the "Operations" TSI. 

Drivers  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. 

49 

 
 
  
 
 
 
ANNEX IV 

PROFESSIONAL QUALIFICATIONS 

General programme and training method 

1. 

INTRODUCTION 

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 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; 

–  fire-fighting. 

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. 

50 

 
 
  
 
 
 
The  use  of  simulators  may  be  useful  for  the  effective  training  of  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 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. 

3. 

EXAMINATION 

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 driver's performance in particularly difficult situations. 

51 

 
 
  
 
 
 
ANNEX V 

EXAMINATION ON GENERAL PROFESSIONAL KNOWLEDGE 

The general training has the following objectives: 

General matters 

– 

– 

– 

– 

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, drivers must be able to: 

–  understand  the  specific  requirements  for  working  in  the  profession  of  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. 

52 

 
 
  
 
 
 
 
ANNEX VI 

EXAMINATION OF PROFESSIONAL KNOWLEDGE OF ROLLING STOCK 

After  completing  specific  training  on  rolling  stock,  drivers  must  be  able  to  carry  out  the 
following tasks. 

1. 

TESTS AND CHECKS PRIOR TO DEPARTURE  

Drivers 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, drivers must be familiar with all the controls and indicators placed at 
their disposal, in particular those concerning: 

– 

– 

– 

traction, 

braking, 

traffic safety-related  elements. 

53 

 
 
  
 
 
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, drivers must be familiar with:32 

– 

– 

– 

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, 

the parts specific to traction units.33 

3. 

TESTING THE  BRAKES 

Drivers must be able to:  

– 

– 

4. 

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. 

OPERATING MODE AND MAXIMUM SPEED OF THE TRAIN IN RELATION TO THE LINE 
CHARACTERISTICS 

Drivers must be able to: 

– 

– 

5. 

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. 

DRIVING  THE  TRAIN  IN  A  WAY  WHICH  DOES  NOT  DAMAGE  INSTALLATIONS  OR 
VEHICLES 

Drivers must be able to: 

32 In particular: 

•  mechanical structures 
• 
braking system 
• 
suspension and attachment equipment 
• 
running gear 
• 
safety equipment. 

33  In particular:  

• 
• 
• 
• 

collection of current and high-voltage systems 
fuel tanks, fuel supply system, exhaust equipment 
traction chain, motors and transmission  
communication equipment (ground-to-train radio, etc.). 

54 

 
 
  
 
                                                 
 
 
– 

– 

– 

– 

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. 

6. 

ANOMALIES  

Drivers must be able to: 

– 

– 

– 

– 

– 

7. 

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. 

OPERATING  INCIDENTS  AND  ACCIDENTS,  FIRES  AND  ACCIDENTS  INVOLVING 
PERSONS 

Drivers must be able to: 

– 

– 

8. 

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. 

CONDITIONS FOR CONTINUING RUNNING AFTER AN ACCIDENT INVOLVING ROLLING 
STOCK 

After an incident, 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 

Drivers must be able to take measures to ensure that the train does not start up unexpectedly, 
even in the most difficult conditions. 

55 

 
 
  
 
ANNEXE VII 

EXAMINATION OF PROFESSIONAL KNOWLEDGE OF INFRASTRUCTURE  

Matters relating to infrastructure  

1. 

TESTING THE BRAKES 

Drivers 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 

Drivers 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  

Drivers  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, 

topographical profiles, 

particular braking conditions, for example on lines with a steep downward gradient, 

56 

 
 
  
 
 
 
  
– 

4. 

– 

– 

– 

– 

– 

particular operating features: special signals, signs, departure conditions, etc. 

SAFETY REGULATIONS 

Drivers 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 

– 

– 

– 

– 

Drivers must: 

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. 

6. 

ANOMALIES 

Drivers 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. 

57 

 
 
  
 
7. 

OPERATING 
PERSONS 

  INCIDENTS  AND  ACCIDENTS,  FIRES  AND  ACCIDENTS  INVOLVING 

Drivers 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 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. 

58 

 
 
  
 
IMPACT ASSESSMENT FORM 

THE IMPACT OF THE PROPOSAL ON BUSINESS, WITH PARTICULAR 
REFERENCE TO SMALL AND MEDIUM-SIZED ENTREPRISES (SMEs) 

TITLE OF THE PROPOSAL 

Directive concerning the certification of train crews operating locomotives and trains on the 
Community’s rail network. 

DOCUMENT REFERENCE NUMBER 

---- 

THE PROPOSAL 

1. 

Taking  account  of  the  principle  of  subsidiarity,  why  is  Community  legislation 
necessary in this area and what are its main aims? 

The  proposed  Directive  seeks  to  establish  a  common  regulatory  framework  for  the 
certification of train crew on board locomotives and trains carrying passengers and freight. It 
will  facilitate  the  interoperability  of  driving  personnel,  thus  increasing  international  rail 
traffic,  and  maintaining  or  even  improving  safety  levels  and  guaranteeing  the  performance 
standards  of  driving  personnel  by  ensuring  and  checking  the  skills  required  for  the  relevant 
European  networks  used.  It  will  also  help  to  make  the  methods  used  for  managing  drivers 
involved  in  interoperability  more  effective  for  railway  companies  and  to  reduce  the  risk  of 
social dumping.  

THE IMPACT ON BUSINESS 

2. 

Who will be affected by the proposal? 

- Which sectors of business? 

This  proposal  is  chiefly  aimed  at  railway  undertakings  and  the  competent  authorities  of  the 
Member States. Infrastructure managers are also affected, but to a lesser extent. As indicated 
in Chapter 7 of the explanatory memorandum, the overall economic impact of the proposal is 
favourable in terms of costs and benefits. For most railway undertakings, it will not normally 
entail any additional financial burden. Furthermore, by establishing a common framework for 
the certification of train crews, the proposal will improve the transparency of the certification 
procedure, which is now an integral part of the internal management of train crews, in order to 
increase  their  interoperability  and  to  facilitate  the  process  of  certifying  the  undertakings 
themselves. 

–  Which  sizes  of  business  (what  is  the  concentration  of  small  and  medium-sized 

firms)? 

59 

 
 
  
 
 
While  traditional  operators  are  still  dominating  the  industry,  more  and  more  small  and 
medium-sized  enterprises  are  emerging  thanks  to  the  opening  up  of  the  rail  freight  market. 
This proposal is likely to facilitate the entry into the market of such undertakings, which are 
capable  of  carrying  out  seamless  cross-border  services  and  are  thus  competitive  with  road 
hauliers. 

–  Are there particular geographical areas of the Community where these businesses 

are found? 

Railway undertakings exist in all the Member States. 

3. 

What will business have to do to comply with the proposal? 

Once  the  Directive  has  been  transposed  into  national  law,  the  immediate  impact  of  the 
proposed  legislation  will  be  to  transfer  part  of  the  crew  training/certification  tasks  to  the 
competent authorities and to accredited training centres. Where applicable, they will have to 
have occupational physicians, trainers and examiners accredited by the competent authority. 
They will have to work together with the competent authority to set up registers. This transfer 
will be positive for undertakings, enabling them to focus more on commercial activities. 

4. 

What economic effects is the proposal likely to have: 

Chapter  7  of  the  explanatory  memorandum  gives  details  of  the  economic  impact  of  this 
proposal in terms of overall costs and advantages. 

–  On employment? 

Revitalising  the  industry  will  lead  to  increased  competition  within  the  sector  and  to  more 
profitable transport solutions which may lead to a reduction in the number of jobs. Thanks to 
increased  competitiveness,  however,  the  railways  ought  to  be  able  to  increase  their  market 
share in comparison with other modes and expand considerably, which will lead to growth in 
the number of stable, appealing jobs in the rail sector. This proposal will make the hidden part 
of the iceberg more visible and will add value to the profession of train driver. It will lead to 
greater  flexibility  in  the  employment  market  and,  as  a  result,  will  reduce  the  social  costs 
accompanying business conversion. 

–  On investment and the creation of new businesses? 

A  more  competitive  rail  system  which  covers  the  Community  market  instead  of  being 
confined mainly to national markets will offer new commercial outlets and boost investment. 
The  proposal  should  facilitate  the  creation  of  new  businesses  by  reducing  legal  uncertainty 
and through the mechanisms for accrediting training centres and examiners. 

–  On the competitiveness of businesses? 

The  proposal  will  cut  the  costs  of  the  training  and  certification  of  drivers  operating 
cross-border  services,  resulting  in  higher  revenue  for  railway  undertakings  and  thus  greater 
capacity to win market shares compared with road hauliers. Small and medium-sized railway 
undertakings are particularly likely to benefit from improved accessibility to training centres 
and from the greater mobility of drivers.  

In  addition,  further  systematic  risk  management  is  a  crucial  factor  in  an  industry  where 
accidents have disastrous consequences for human lives and the activities of companies. 

60 

 
 
  
 
 
5. 

Does the proposal contain measures to take account of the specific situation of small 
and medium-sized firms (reduced or different requirements, etc.)? 

In accordance with the principle of subsidiarity, Member States may decide which tasks are to 
be  given  to  a  competent  authority  and  which  are  to  be  delegated  to  railway  undertakings. 
They  may  therefore  introduce  measures  aimed  at  taking  account  of  the  specific  situation  of 
small and medium-sized enterprises.  

CONSULTATION 

6. 

List  the  organisations  which  have  been  consulted  about  the  proposal  and  outline 
their main views. 

As stated in the explanatory memorandum, the proposal was preceded by a study.  

The  Commission  consulted  interested  parties  on  the  basis  of  a  consultation  document 
published  on  the  Europa  website  on  2  July  2003,.  This  document  was  presented  to  all 
representatives  of  the  industry,  including  infrastructure  managers,  railway  undertakings,  the 
social partners and service companies, at a hearing organised by the Commission on 16 July 
2003. 

The document aroused considerable interest, with about 30 official reactions being received 
and  published  on  the  Europa  website  between  15  August  and  30  October  200334. The 
principle of a legislative proposal  to establish  Community rules for the certification of train 
drivers was welcomed. However, the importance of assessing the economic impact of such a 
proposal was emphasised. At the same time, many comments were made on the details of the 
mechanisms proposed and on the minimum requirements to be checked, and the Commission 
drew on these to a large extent in drafting its proposal.  

The  Commission  also  discussed  the  basic  principles  of  this  proposal  with  safety  experts, 
including representatives of safety authorities, ministries, infrastructure managers and railway 
undertakings, the International Union of Railways (IUR) and the International Liaison Group 
of  Government  Railway  Inspectorates  (ILGGRI).  The  Commission  presented  the  key 
elements  of  the  proposal  to  the  regulatory  committee  set  up  under  Article  21  of 
Directives 96/48/EC  and  2001/16/EC  on  the  interoperability  of  the  trans-European  railway 
system, and also to other groups. 

More  recently,  the  European  Rail  Community  (ERC)  and  the  European  Transport  Workers’ 
Federation  (ETF)  came  to  an  agreement  on  the  European  licence  for  drivers  carrying  out 
cross-border  interoperability  services.  As  explained  in  Chapter  2  of  the  explanatory 
memorandum, the Commission drew heavily on this agreement. 

34  

See the reactions published on EUROPA (Internet address: 
http://europa.eu.int/comm/transport/rail/package2003/reaction_en.htm) 

61