Common Position (EC) No 21/2006 of 14 September 2006 adopted by the Council, acting in accordance with the procedure referred to in Article 251 of the Treaty establishing the European Community, with a view to adopting Directive of the European Parliament and of the Council on the certification of train drivers operating locomotives and trains on the railway system in the Community
Date: 2006-09-14
Institutions: Council of the European Union
Subjects: approximation of laws, common transport policy, drivers, professional qualifications, rail transport, recognition of vocational training qualifications, single market, transport safety, vocational training

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COMMON POSITION (EC) No 21/2006

adopted by the Council on 14 September 2006

with a view to adopting Directive 2006/…/EC of the European Parliament and of the Council of …
on the certification of train drivers operating locomotives and trains on the railway system in the
Community

(2006/C 289 E/03)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EURO-
PEAN UNION,

growing demand for drivers trained and certified for
operation in more than one Member State.

Having regard to the Treaty establishing the European Com-
munity, and in particular Article 71 thereof,

Having regard to the proposal from the Commission,

Having regard to the Opinion of the European Economic and
Social Committee (1),

Having regard to the Opinion of
Regions (2),

the Committee of

the

Acting in accordance with the procedure laid down in Article
251 of the Treaty (3),

Whereas:

(1)

(2)

(3)

Directive 2004/49/EC of the European Parliament and of
the Council of 29 April 2004 on safety on the Commu-
nity's railways (4) requires infrastructure managers and
railway undertakings to establish their safety manage-
ment systems in such a way that the railway system is at
least able to achieve the common safety targets and
comply with the national safety rules and safety require-
ments defined in the technical specifications for intero-
perability (‘TSIs’) and that
the
common safety methods are applied. These safety
management systems provide, among other things, for
staff training programmes and systems which ensure
that staff competence is maintained and that duties are
performed in the appropriate manner.

the relevant parts of

Directive 2004/49/EC provides that,
in order to gain
access to railway infrastructure, a railway undertaking
has to hold a safety certificate.

have

railway

Under Council Directive 91/440/EEC of 29 July 1991
the Community's railways (5),
on the development of
since
undertakings
licensed
15 March 2003, a right of access to the trans-European
freight network for international rail freight services and,
from 2007 at the latest, will have a right of access to the
freight
entire network for domestic and international
services. This gradual extension of access rights will
inevitably lead to an increase in the movement of train
drivers across national borders. The result will be a

had,

(1) OJ C 221, 8.9.2005, p. 64.
(2) OJ C 71, 22.3.2005, p. 26.
(3) Opinion of

the European Parliament of 28.9.2005 (not yet
published in the Official Journal), Council Common Position of 14
September 2006 and Position of the European Parliament of … (not
yet published in the Official Journal).

(4) OJ L 164, 30.4.2004, p. 44.
(5) OJ L 237, 24.8.1991, p. 25. Directive as last amended by Directive
2004/51/EC of the European Parliament and of the Council (OJ L
164, 30.4.2004, p. 164).

(4)

(5)

(6)

(7)

(8)

A study carried out by the Commission in 2002 high-
lighted the fact that the laws of the Member States on
the certification conditions for train drivers differ consid-
erably. Community rules for the certification of train
drivers should therefore be adopted to overcome these
differences while maintaining the present high level of
safety of the railway system in the Community.

Such Community rules should also contribute to the
aims of Community policies on the freedom of move-
ment of workers, freedom of establishment and freedom
to provide services in the context of the common trans-
port policy, while avoiding any distortion of competi-
tion.

The aim of these common provisions should be above
all to make it easier for train drivers to move from one
Member State to another, but also to make it easier for
them to move from one railway undertaking to another,
and generally for licences and harmonised complemen-
tary certificates to be recognised by all railway sector
stakeholders. To this end, it is essential that the provi-
sions establish minimum requirements which applicants
should meet to obtain a licence or harmonised comple-
mentary certificate.

Even if a Member State excludes from the scope of this
Directive drivers exclusively operating on certain cate-
gories of rail systems, networks and infrastructure, this
that
should not
Member State
licences
throughout the territory of the European Union or of
harmonised complementary certificates on the relevant
infrastructure.

in any way the obligation of

the validity of

to respect

limit

The requirements should cover at least the minimum
age for driving a train, the applicant's physical and occu-
pational psychological
fitness, professional experience
and knowledge of certain matters relating to driving a
train, a knowledge of the infrastructures on which he
will be required to operate and of the language used on
them.

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(9)

(10)

(11)

(12)

(13)

should

certificate

complementary

In order to increase its cost-effectiveness, the training
which train drivers should undergo in order to obtain a
harmonised
be
focused, to the extent that such is possible and desirable
from a safety viewpoint, on the particular services to be
performed by the driver, such as, for example, shunting,
maintenance services, passenger or
services.
When assessing the implementation of this Directive, the
European Railway Agency (hereinafter referred to as ‘the
Agency’) should evaluate the need for amending the
training requirements specified in the Annex in order
better to reflect
the
market.

the new, emerging structure of

freight

Railway undertakings
infrastructure managers
and
issuing harmonised complementary certificates may
themselves provide training for general professional
knowledge,
linguistic knowledge, knowledge of rolling
stock and infrastructures. However, with regard to exam-
interests should be avoided,
inations, any conflict of
without prejudice to the fact
that an examiner may
infrastructure
belong to the railway undertaking or
manager issuing the harmonised complementary certifi-
cate.

Staff competences and health and safety conditions are
being developed in the context of the interoperability
directives,
in particular as part of the ‘traffic manage-
ment and operation’ TSIs. There is a need to ensure
coherence between these TSIs and the Annexes to this
Directive. This will be achieved by means of amend-
ments to be adopted by the Commission under a
Committee procedure, on the basis of an opinion deliv-
ered by the same Committee.

set out

The requirements pertaining to licences and harmonised
complementary certificates
in this Directive
should relate solely to the legal conditions entitling a
driver to drive a train. All other legal requirements,
compatible with Community legislation and applied in a
non discriminatory manner, pertaining to railway under-
takings,
and
rolling stock should equally be complied with before a
driver may drive a train on a specific infrastructure.

infrastructure managers,

infrastructure

This Directive should be without prejudice to the imple-
mentation of Directive 95/46/EC of the European Parlia-
ment and of the Council of 24 October 1995 on the
protection of individuals with regard to the processing
of personal data and on the free movement of such
data (1), and of Regulation (EC) No 45/2001 of the Euro-
pean 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 institu-
tions and bodies and on the free movement of such
data (2).

(14)

In order to guarantee the necessary uniformity and
transparency, the Community should establish a single

(1) OJ L 281, 23.11.1995, p. 31. Directive as amended by Regulation
(EC) No 1882/2003 of the European Parliament and of the Council
(OJ L 284, 31.10.2003, p. 1).

(2) OJ L 8, 12.1.2001, p. 1.

certification model, mutually recognised by the Member
States, attesting both to train drivers' compliance with
certain minimum conditions, and to their professional
qualifications and linguistic knowledge, leaving it to the
competent authorities in the Member States to issue
licences and to railway undertakings and infrastructure
managers to issue harmonised complementary certifi-
cates.

(15)

The Agency should also examine the use of a smartcard
instead of a licence and harmonised complementary
certificates. 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.

(16) All of the information contained in licences, harmonised
complementary certificates and the registers of licenses
and harmonised complementary certificates should be
used by the safety authorities to facilitate evaluation of
the staff certification process provided for in Articles 10
and 11 of Directive 2004/49/EC and to speed up the
issuing of the safety certificates provided for in those
Articles.

(17)

The employment of train drivers certified in accordance
with this Directive should not exonerate railway under-
takings and infrastructure managers from their obliga-
tion to set up a system of monitoring and internal
control of the competence and conduct of their train
drivers pursuant to Article 9 of and Annex III to Direc-
tive 2004/49/EC and should form part of that system.
The harmonised complementary certificate should not
relieve either
infrastructure
railway undertakings or
managers of their responsibility for safety and, in par-
ticular, the training of their staff.

(18)

Certain companies provide the services of train drivers
to railway undertakings and infrastructure managers. In
such cases, responsibility for ensuring that a driver is
licensed and certified in accordance with this Directive
should lie with the railway undertaking or infrastructure
manager contracting the driver.

(19)

For rail transport to continue to operate effectively, train
drivers already working in that profession before the
entry into force of this Directive should retain their
acquired entitlements during a transition period.

(20) Unnecessary administrative and financial burdens should
be avoided when replacing authorisations to drive issued
to drivers before the application of the relevant provi-
sions of this Directive with harmonised complementary
certificates and licences which are in conformity with
this Directive. Therefore, entitlements to drive previously
granted to a driver should be safeguarded, as far as
possible. The qualifications and experience of each
driver, or group of drivers, should be taken into account

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by the issuing bodies when authorisations are to be
replaced. The issuing body should decide, on the basis of
qualifications and/or experience, whether it is necessary
for a driver or a group of drivers to undergo any addi-
tional examination and/or
training before they can
receive replacement licences and harmonised comple-
mentary certificates. Therefore, it should be a matter for
the issuing body to decide whether qualifications and/or
experience suffice for the issue of the required licences
and harmonised complementary certificates, without
there being any need for further examination or training.

(21) Unnecessary administrative and financial burdens should
also be avoided when train drivers change employer. A
railway undertaking employing a driver should take into
account
and should
dispense with additional examinations and training as far
as possible.

acquired earlier

competences

(22)

(23)

(24)

This Directive should not confer any mutual recognition
rights relating to entitlements to drive which drivers
have obtained before the application of this Directive,
albeit without prejudice to the general mutual recogni-
tion scheme set up under Directive 2005/36/EC of the
of
and
European
7 September 2005 on the recognition of professional
qualifications (1), which shall continue to apply until the
end of the transition period.

Parliament

Council

the

of

The measures necessary for the implementation of this
Directive should be adopted in accordance with Council
Decision 1999/468/EC of 28 June 1999 laying down
the procedures for the exercise of implementing powers
conferred on the Commission (2).

In accordance with paragraph 34 of the Interinstitutional
Agreement on better law-making (3), Member States are
for themselves and in the
encouraged to draw up,
interest of the Community, their own tables, illustrating,
as far as possible, the correlation between this Directive
and the transposition measures, and to make them
public.

(25) Member States should provide for controls regarding
compliance with this Directive and appropriate action
where a driver infringes any provision of this Directive.

(26) Member States should provide for appropriate penalties
for infringements of national provisions implementing
this Directive.

(27)

Since the objective of this Directive, namely the laying
down of a common regulatory framework for the certifi-
cation of train drivers operating locomotives and trains
for the carriage of passengers and goods, cannot be suffi-
ciently achieved by the Member States, and can there-
fore, by reason of the scale and effects of this Directive,

(1) OJ L 255, 30.9.2005, p. 22.
(2) OJ L 184, 17.7.1999, p. 23.
(3) OJ C 321, 31.12.2003, p. 1.

be better achieved at Community level, 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 that objective.

(28)

It might prove appropriate, for reasons of cost-effective-
ness, to exempt for a limited period of time train drivers
operating exclusively on the territory of one Member
State from application of the provisions of this Directive
pertaining to the obligation for such drivers to hold
licences and harmonised complementary certificates in
conformity with this Directive. The conditions governing
any such exemptions should be clearly defined.

(29) A Member State which has no railway system, and no
immediate prospect of having one, would be under a
disproportionate and pointless obligation if it had to
transpose and implement the provisions of this Direc-
tive. Therefore,
should be
exempted, for as long as it has no railway system, from
the obligation to transpose and implement this Direc-
tive,

such a Member State

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

OBJECTIVE, SCOPE AND DEFINITIONS

Article 1

Objective

This Directive lays down the conditions and procedures for the
certification of train drivers operating locomotives and trains
on the railway system in the Community. It specifies the tasks
for which the competent authorities of the Member States,
train drivers and other stakeholders in the sector, in particular
railway undertakings,
infrastructure managers and training
centres, are responsible.

Article 2

Scope

1.
This Directive shall apply to train drivers operating loco-
motives and trains on the railway system in the Community for
a railway undertaking requiring a safety certificate or an infra-
structure manager requiring a safety authorisation.

2. Member States shall not, on the basis of national provi-
sions pertaining to other staff on board freight trains, prevent
freight
trains from crossing borders or providing domestic
transport in their territory.

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C 289E/45

3. Without prejudice to the Article 7, Member States may
exclude from the measures they adopt in implementation of
this Directive train drivers operating exclusively on:

(a) metros, trams and other light rail systems;

(b) networks that are functionally separate from the rest of the
rail system and are intended only for the operation of local,
urban or suburban passenger and freight services;

(c) privately owned railway infrastructure that exists solely for
use by the infrastructure owners for their own freight
operations;

(d) sections of track that are temporarily closed to normal
renewing or
the purpose of maintaining,

traffic for
upgrading the railway system.

Article 3

Definitions

For the purposes of this Directive:

(a) ‘competent authority’ means the safety authority referred to

in Article 16 of Directive 2004/49/EC;

(b) ‘train driver’ means a person capable and authorised to
drive trains, including locomotives, shunting locomotives,
work trains, maintenance railway vehicles or trains for the
carriage of passengers or goods by rail in an autonomous,
responsible and safe manner;

(c) ‘railway system’ means the system composed of the railway
infrastructures, comprising lines and fixed installations of
the rail system plus the rolling stock of all categories and
origin travelling on that
infrastructure, as defined in
Council Directive 96/48/EC of 23 July 1996 on the intero-
perability of the trans-European high-speed rail system (1)
and Directive 2001/16/EC of the European Parliament and
of the Council of 19 March 2001 on the interoperability of
the conventional rail system (2);

(d) ‘infrastructure manager’ means any body or undertaking
that is responsible in particular for establishing and main-
taining railway infrastructure, or part thereof, as defined in
Article 3 of Directive 91/440/EEC, which may also include
control and safety
infrastructure
the management of
systems. The functions of the infrastructure manager on a
network or on part of a network may be allocated to
different bodies or undertakings;

(e) ‘railway undertaking’ means any railway undertaking as
defined in Directive 2001/14/EC of the European Parlia-
ment and of the Council of 26 February 2001 on the allo-
cation of railway infrastructure capacity and the levying of
charges for the use of railway infrastructure (3), and any
other public or private undertaking, the activity of which is

to provide transport of goods and/or passengers by rail on
the basis that the undertaking must ensure traction. The
term also includes undertakings which provide traction
only;

(f) ‘technical specifications for interoperability’ or ‘TSIs’ means
the specifications by which each subsystem or part of a
subsystem is covered in order to meet the essential require-
ments and to ensure the interoperability of the trans-Euro-
pean high-speed and conventional rail systems as defined in
Directive 96/48/EC and Directive 2001/16/EC;

(g) ‘Agency’ means the European Railway Agency established
by Regulation (EC) No 881/2004 of the European Parlia-
ment and of the Council of 29 April 2004 establishing a
European Railway Agency (4);

(h) ‘safety certificate’ means the certificate issued to a railway
undertaking by a competent authority in accordance with
Article 10 of Directive 2004/49/EC;

(i) ‘certificate’ means the harmonised complementary certifi-
cate indicating the infrastructure on which the holder is
authorised to drive and the rolling stock which the holder
is authorised to drive;

(j) ‘safety authorisation’ means the certificate issued to an
infrastructure manager by a competent authority in accord-
ance with Article 11 of Directive 2004/49/EC;

(k) ‘training centre’ means an entity accredited or recognised

by the competent authority to give training courses.

CHAPTER II

CERTIFICATION OF DRIVERS

Article 4

Community certification model

1.
All train drivers shall have the necessary fitness and quali-
fications to drive trains and shall hold the following docu-
ments:

(a) a licence demonstrating that the driver satisfies minimum
conditions as regards medical requirements, basic education
and general professional skills. The licence shall identify the
driver and the issuing authority and shall state the duration
of its validity. The licence shall comply with the require-
ments of Annex I, until the Community certification model
is adopted, as provided for in paragraph 4;

(1) OJ L 235, 17.9.1996, p. 6. Directive as last amended by Directive
2004/50/EC of the European Parliament and of the Council (OJ L
164, 30.4.2004, p. 114).

(2) OJ L 110, 20.4.2001, p. 1. Directive as last amended by Directive

2004/50/EC.

(3) OJ L 75, 15.3.2001, p. 29. Directive as last amended by Directive

2004/49/EC.

(b) one or more certificates indicating the infrastructures on
which the holder is authorised to drive and indicating the
rolling stock which the holder is authorised to drive. Each
certificate shall comply with the requirements of Annex I.

(4) OJ L 164, 30.4.2004, p. 1. Corrected by OJ L 220, 21.6.2004, p. 3.

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However,

the requirement

2.
to hold a certificate for a
specific part of infrastructure shall not apply in the exceptional
cases listed hereafter, provided that another train driver who
possesses a valid certificate for the infrastructure concerned sits
next to the driver during driving:

(a) when a disturbance of the railway service necessitates the
deviation of trains or maintenance of tracks, as specified by
the infrastructure manager;

(b) for exceptional, one-off services which use historical trains;

(c) for exceptional, one-off freight services, provided that the

infrastructure manager agrees;

(d) for the delivery or demonstration of a new train or locomo-

tive;

(e) for the purposes of training and examining drivers.

The use of this possibility shall be a decision of the railway
undertaking and may not be imposed by the relevant infra-
structure manager or by the competent authority.

Whenever an additional driver is used as provided for above,
the infrastructure manager shall be informed beforehand.

The certificate shall authorise driving in one or more of

3.
the following categories:

(a) category A: shunting locomotives, work trains, mainte-
nance railway vehicles and locomotives when they are used
for shunting;

Article 6

Ownership, language and issuing bodies

A licence shall be owned by its holder and shall be issued
1.
by the competent authority defined in Article 3 point
(a).
Where a competent authority or its agent issues a licence in a
national language which is not a Community language, it shall
draw up a bilingual version of the licence using one of the
Community languages.

2.
A certificate shall be issued by the railway undertaking or
the infrastructure manager who employs or contracts the
driver. The certificate shall be owned by the undertaking or
manager issuing it. However, in accordance with Article 13(3)
of Directive 2004/49/EC, drivers shall be entitled to obtain a
certified copy. Where a railway undertaking or an infrastructure
manager issues a certificate in a national language which is not
a Community language, it shall draw up a bilingual version of
the certificate using one of the Community languages.

Article 7

Geographical validity

Licences shall be valid throughout the whole territory of

1.
the Community.

Certificates shall be valid only on those infrastructures

2.
and rolling stock identified on it.

(b) category B: carriage of passengers and/or of goods.

Article 8

A certificate may contain an authorisation for all categories,
covering all codes as referred to in paragraph 4.

Recognition of certification documents of train drivers of
third countries

4.
By … (*) the Commission shall adopt, in accordance with
the procedure referred to in Article 31(2), and on the basis of a
draft prepared by the Agency, a Community model for the
licence, the certificate and the certified copy of the certificate,
and also determine their physical characteristics. In doing so,
the Commission shall take into account anti-forgery measures.

By … (*), the Commission shall adopt the Community Codes
for the different types in categories A and B as referred to in
paragraph 3, in accordance with the procedure referred to in
Article 31(2), on the basis of a recommendation from the
Agency.

Article 5

Anti-fraud measures

Competent authorities and issuing bodies shall take all neces-
sary steps to avoid the risks of falsification of licences and certi-
ficates and tampering with the registers provided for in Article
22.

(*) One year from the date of entry into force of this Directive.

The certification documents of train drivers of a third country
operating exclusively on border-crossing sections of a Member
State's railway system may be recognised by that Member State
in accordance with any bilateral agreements with the third
country in question.

CHAPTER III

CONDITIONS FOR OBTAINING THE LICENCE AND THE CERTI-
FICATE

Article 9

Minimum requirements

1.
To obtain a licence, applicants shall satisfy the minimum
requirements set out in Articles 10 and 11. To obtain a certifi-
cate and for it to remain valid, applicants shall hold a licence
and satisfy the minimum requirements set out in Articles 12
and 13.

A Member State may apply more stringent requirements
2.
with regard to the issuing of licences on its own territory.
Nevertheless, it shall recognise licences issued by other Member
States, in accordance with Article 7.

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SECTION I

Licence

Article 10

Minimum age

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

Article 11

Basic requirements

1.
Applicants shall have successfully completed at least nine
years' education (primary and secondary) and have successfully
concluded basic training equivalent to level 3 referred to in
Council Decision 85/368/EEC of 16 July 1985 on the compar-
ability of vocational
training qualifications between the
Member States of the European Community (1).

2.
Applicants shall provide confirmation of their physical
fitness by passing a medical examination conducted by, or
under the supervision of — to be decided by the Member State
— a medical doctor recognised or accredited in accordance
with Article 20. The examination shall cover at least the criteria
indicated in sections 1.1, 1.2, 1.3 and 2.1 of Annex II.

3.
Applicants shall demonstrate their occupational psycholo-
gical fitness by passing an examination conducted by, or under
the supervision of — to be decided by the Member State — a
psychologist or a medical doctor recognised or accredited in
accordance with Article 20. The examination shall cover at
least the criteria indicated in section 2.2 of Annex II.

Applicants shall have demonstrated their general profes-
4.
sional competence by passing an examination covering at least
the general subjects listed in Annex IV.

SECTION II

Certificate

Article 12

Linguistic knowledge

The linguistic knowledge criterion referred to in Annex VI shall
be met for the infrastructure for which the certificate is being
applied.

Article 13

Professional qualifications

Applicants shall have passed an examination testing their
1.
professional knowledge and competence relating to the rolling

(1) OJ L 199, 31.7.1985, p. 56.

stock for which the certificate is sought. This examination shall
cover at least the general subjects listed in Annex V.

2.
Applicants shall have passed an examination testing their
professional knowledge and competence relating to the infra-
structures for which the certificate is sought. This examination
shall cover at least the general subjects listed in Annex VI.
Where appropriate, the examination shall also cover linguistic
knowledge in accordance with section 8 of Annex VI.

3.
Applicants shall be trained by the railway undertaking or
the infrastructure manager in relation to its safety management
system provided for by Directive 2004/49/EC.

CHAPTER IV

PROCEDURE FOR OBTAINING THE LICENCE AND THE CERTI-
FICATE

Article 14

Obtaining a licence

The competent authority shall publish the procedure to

1.
be followed for obtaining a licence.

2.
All licence applications shall be lodged with the compe-
tent authority by the candidate driver or any entity on his
behalf.

3.
Applications submitted to the competent authority may
be for the grant of a new licence, the updating of licence parti-
culars, a renewal or a duplicate.

4.
The competent authority shall issue the licence as soon as
possible and no later than one month after receiving all the
necessary documents.

A licence shall be valid for 10 years, subject to Article

5.
16(1).

6.
A licence shall be issued in a single original. Any duplica-
tion of a licence, other than by the competent authority where
a duplicate is requested, shall be prohibited.

Article 15

Obtaining a certificate

Each railway undertaking and infrastructure manager shall set
up its own procedures for issuing and updating certificates in
accordance with this Directive, as part of its safety management
system, as well as appeals procedures allowing drivers to
request a review of a decision relating to the issue, updating,
suspension or withdrawal of a certificate.

Railway undertakings and infrastructure managers shall update,
without delay, a certificate whenever the certificate holder has
obtained additional authorisations relating to rolling stock or
infrastructure.

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Article 16

Periodic checks

1.
In order for a licence to remain valid, its holder shall pass
periodic examinations and/or tests relating to the requirements
referred to in Article 11(2) and (3). With regard to medical
requirements, the minimum frequency shall be observed in
accordance with the provisions of section 3.1 of Annex II. These
medical checks shall be conducted by, or under the supervision
of, medical doctors recognised or accredited in accordance with
Article 20. As
far as general professional knowledge is
concerned, the provisions of Article 23(8) shall apply.

When renewing a licence, the competent authority shall verify
in the register provided for in Article 22(1)(a) that the driver
has met the requirements referred to in the first subparagraph
of this paragraph.

2.
In order for a certificate to remain valid, its holder shall
undergo periodic examinations and/or tests relating to the
requirements referred to in Articles 12 and 13. The frequency
of those examinations/tests shall be determined by the railway
the infrastructure manager employing or
undertaking or
in accordance with its own safety
contracting the driver
management system, and respect
the minimum frequencies
given in Annex VII.

For each of these checks the issuing body shall confirm by a
statement on the certificate and in the register provided for in
the requirements
Article 22(2)(a)
referred to in the first subparagraph of this paragraph.

the driver has met

that

Article 18

Monitoring of drivers by railway undertakings and infra-
structure managers

1.
Railway undertakings and infrastructure managers shall
be required to ensure, and to check, that the licences and certi-
ficates of the drivers they employ or contract are valid.

They shall set up a system for monitoring their drivers. If the
results of such monitoring call into question a driver's compe-
tence for the job and the continuing validity of his licence or
certificate, railway undertakings and infrastructure managers
shall immediately take the necessary action.

2.
If a driver considers that his state of health calls into
question his fitness for the job, he shall immediately inform the
railway undertaking or infrastructure manager, whichever is
appropriate.

As soon as a railway undertaking or infrastructure manager is
aware or is informed by a doctor that the health of a driver has
deteriorated to a point where his fitness for the job is called
into question, it shall immediately take the necessary action,
including the examination described in section 3.1 of Annex II.
Furthermore, it shall ensure that at no time during their service
drivers are under the influence of any substance which is likely
to affect
their concentration, attention or behaviour. The
competent authority shall be informed without delay of any
cases of work incapacity of more than three months.

CHAPTER V

TASKS AND DECISIONS OF THE COMPETENT AUTHORITY

3. Where a periodic check is missed or gives a negative
result, the procedure laid down in Article 18 shall be applied.

Article 19

Tasks of the competent authority

Article 17

The competent authority shall fulfil the following tasks in

1.
a transparent and non-discriminatory manner:

(a) issuing and updating licences, and providing duplicates, as

provided for in Articles 6 and 14;

Cessation of employment

(b) ensuring periodic examinations and/or tests as provided for

in Article 16(1);

When a driver ceases to work for a railway undertaking or an
infrastructure manager, it shall inform the competent authority
without delay.

(c) suspending and withdrawing licences, and notifying the
issuing body of reasoned requests for the suspension of
certificates, as provided for in Article 28;

The licence shall remain valid, provided that the conditions in
Article 16(1) remain fulfilled.

A certificate shall become invalid when its holder ceases to be
employed as a driver. However, the holder shall receive a certi-
fied copy of it as evidence of his professional competences.
When issuing a certificate to a driver, a railway undertaking or
infrastructure manager shall
these compe-
tences.

take account of

(d) if so designated by the Member State, recognising persons

or bodies as provided for in Articles 23 and 24;

(e) ensuring that a register of persons and bodies accredited or
recognised as provided for in Article 20 is published and
updated;

(f) ensuring that a register of licences as provided for in Arti-

cles 16(1) and 22 is kept and updated;

(g) monitoring the drivers' certification process as provided for

in Article 25;

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(h) carrying out inspections as provided for in Article 28;

The criterion of independence does not apply in the case of the
training referred to in Article 23(5) and (6).

(i) establishing national criteria for examiners as provided for

in Article 24(5).

The competent authority shall respond quickly to requests for
information and present any requests for additional informa-
tion without delay when preparing licences.

3.
The competent authority shall ensure the publication and
updating of a register of persons and bodies which have been
accredited or recognised under this Directive.

2.
The competent authority shall not delegate the tasks
referred to in points (c), (f) and (g) of paragraph 1 to third
parties.

Article 21

Decisions of the competent authority

Any delegation of tasks shall be transparent and non-

3.
discriminatory and shall not give rise to a conflict of interests.

The competent authority shall state the reasons for its

1.
decisions.

4. Where a competent authority delegates or contracts tasks
referred to in points (a) or (b) of paragraph 1 to a railway
undertaking, at least one of the following conditions shall be
complied with:

2.
The competent authority shall ensure that an administra-
tive appeals procedure is set up allowing employers and drivers
to request a review of a decision relating to any application
under this Directive.

(a) the railway undertaking issues licences only to its own

drivers;

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

5. Where a competent authority delegates or contracts tasks,
the authorised representative or contractor shall be required, in
performing such tasks, to comply with the obligations imposed
on competent authorities by this Directive.

6. Where a competent authority delegates or contracts tasks,
it shall set up a system for checking how those tasks have been
carried out and shall ensure that the conditions laid down in
paragraphs 2, 4 and 5 are being complied with.

Article 20

Accreditation and recognition

1.
Persons or bodies accredited under this Directive shall be
accredited by an accreditation body appointed by the Member
State concerned. The accreditation process shall be based on
criteria of independence, competence and impartiality, such as
the relevant EN 45 000series European standards and on the
evaluation of a dossier submitted by candidates which provides
appropriate evidence of their skills in the area in question.

2.
As an alternative to the accreditation provided for in
paragraph 1, a Member State may provide that persons or
bodies recognised under this Directive shall be recognised by
the competent authority or a body appointed by the Member
State concerned. Recognition shall be based on criteria of inde-
pendence, competence and impartiality. However,
in cases
when the particular competence sought is extremely rare, an
exception to this rule shall be allowed after a positive opinion
by the Commission is given following the procedure referred to
in Article 31(2).

3. Member States shall take the necessary steps to ensure
judicial review of the decisions taken by a competent authority.

Article 22

Registers and exchange of information

1.

The competent authorities shall be required to:

(a) keep a register of all

licences issued, updated, renewed,
amended, expired, suspended, withdrawn or reported lost,
stolen or destroyed. This register shall contain the data
prescribed in section 4 of Annex I for every licence, which
shall be accessible using the national number allotted to
each driver. It shall be regularly updated;

(b) supply, upon reasoned request, information on the status of
such licences to the competent authorities of the other
Member States, the Agency or any employer of drivers.

Each railway undertaking and infrastructure manager

2.
shall be required to:

renewed,

issued, updated,

(a) keep a register, or ensure that a register is kept, of all certi-
ficates
expired,
suspended, withdrawn or reported lost, stolen or destroyed.
This register shall contain the data prescribed in section 4
of Annex I for every certificate, as well as data relating to
the periodic checks provided for in Article 16. It shall be
regularly updated;

amended,

(b) cooperate with the competent authority of the Member
State where they are domiciled in order to exchange infor-
mation with the competent authority and give it access to
data required;

(c) supply information on the content of such certificates to
the competent authorities of the other Member States upon
their request, when this is required as a consequence of
their transnational activities.

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The competent authorities

3.
shall cooperate with the
Agency in order to ensure the interoperability of the registers
provided for in paragraphs 1 and 2. To this end the Commis-
sion shall adopt before … (*), in accordance with the procedure
referred to in Article 31(2) and on the basis of a draft prepared
by the Agency, the basic parameters of the registers to be set
up, such as data to be recorded, their format and the data
exchange protocol, access rights, the duration of data retention
and the procedures to be followed in cases of bankruptcy.

The competent authorities,

4.
infrastructure managers and
railway undertakings shall ensure that the registers provided for
in paragraphs 1 and 2 and the modes of operation of such
registers comply with Directive 95/46/EC.

5.
The Agency shall ensure that the system set up in para-
graph 2 points (a) and (b) complies with Regulation (EC) No
45/2001.

CHAPTER VI

TRAINING AND EXAMINATION OF DRIVERS

Article 23

Training

1.
The training of drivers shall include a part relating to the
licence and reflecting general professional knowledge as
described in Annex IV, and a part relating to the certificate and
reflecting specific professional knowledge, as described in
Annexes V and VI.

The training method shall satisfy the criteria laid down in

2.
Annex III.

3.
The detailed training objectives are defined in Annex IV
for the licence, and in Annexes V and VI for the certificate.
They may be supplemented by either:

(a) the relevant TSIs - the Commission shall, following the
procedure referred to in Article 31(2), ensure coherence
between the TSIs and the Annexes to this Directive — or,

(b) the criteria proposed by the Agency pursuant to Article 17
of Regulation (EC) No 881/2004 and adopted by the
Commission in accordance with Article 31(2) of this Direc-
tive.

4.
Pursuant to Article 13 of Directive 2004/49/EC, Member
States shall take steps to ensure that candidate drivers have fair
and non-discriminatory access to the training needed to fulfil
the conditions for obtaining the licence and the certificate.

in Article 11(4),

Training tasks relating to general professional knowledge
5.
as provided for
linguistic knowledge as
provided for in Article 12 and professional knowledge relating
to rolling stock as provided for in Article 13(1) shall be
performed by persons or bodies accredited or recognised in
accordance with Article 20.

Training tasks relating to infrastructure knowledge as
6.
provided for in Article 13(2), including route knowledge and

(*) One year from the date of entry into force of this Directive.

operating rules and procedures, shall be performed by persons
or bodies accredited or recognised by the Member State where
the infrastructure is located.

7. With regard to licences, the general system for the recog-
nition of professional qualifications established by Directive
2005/36/EC shall continue to 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.

A process of continuous training shall be set up in order
8.
to ensure that staff competences are maintained, in accordance
with point2(e) of Annex III to Directive 2004/49/EC.

Article 24

Examinations

The

examinations

1.
the
purpose of checking the requisite qualifications shall be deter-
mined:

and examiners

intended for

(a) for the part relating to the licence: by the competent
authority when laying down the procedure to be followed
to obtain a licence in accordance with Article 14(1);

(b) for the part relating to the certificate: by the railway under-
taking or the infrastructure manager when laying down the
procedure to be followed to obtain a certificate in accord-
ance with Article 15.

2.
The examinations referred to in paragraph 1 shall be
overseen by competent examiners, accredited or recognised in
accordance with Article 20, and shall be organised in such a
way as to avoid any conflict of interest.

Infrastructure knowledge

3.
including route
knowledge and operation rules, shall be performed by persons
or bodies accredited or recognised by the Member State where
the infrastructure is located.

evaluation,

The examinations referred to in paragraph 1 shall be
4.
organised in such a way that any conflict of
interests is
avoided, without prejudice to the possibility that the examiner
may belong to the railway undertaking or
infrastructure
manager issuing the certificate.

5.
The choice of examiners and examinations may be
subject to Community criteria proposed by the Agency and
adopted by the Commission under the procedure referred to in
Article 31(2). In the absence of such Community criteria, the
competent authorities shall establish national criteria.

6.
There shall be theoretical and practical examinations at
the end of the training course. Driving ability shall be assessed
during driving tests on the network. Simulators may also be
used for examining the application of operational rules and
driver performance in particularly difficult situations.

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CHAPTER VII

ASSESSMENT

Article 25

CHAPTER IX

CONTROLS AND PENALTIES

Article 28

Quality standards

Controls by the competent authority

The competent authorities shall ensure that all activities asso-
ciated with training, the assessment of skills and the updating
of licences and certificates are the subject of continuous moni-
toring under a quality standards system. This shall not apply to
activities already covered by the safety management systems
put
in place by railway undertakings and infrastructure
managers in accordance Directive 2004/49/EC.

Article 26

Independent assessment

1.
An independent assessment of the procedures for the
acquisition and assessment of professional knowledge and
competences, and of the system for the issuing of licences and
certificates, shall be carried out in each Member State at inter-
vals of not more than five years. This shall not apply to activ-
ities already covered by the safety management systems put in
place by railway undertakings and infrastructure managers in
accordance with Directive 2004/49/EC. The assessment shall be
themselves
carried out by qualified persons who are not
involved in the activities concerned.

2.
The results of these independent assessments shall be duly
documented and brought to the attention of the competent
authorities concerned. If necessary, Member States shall take
appropriate measures to remedy any shortcomings brought to
light by the independent assessment.

CHAPTER VIII

CERTIFICATION OF OTHER STAFF

Article 27

Report on other staff

The Agency shall, in a report to be presented by … (*) identify
the profile and tasks of other staff on locomotives and trains
who perform safety-critical tasks and whose professional quali-
fications accordingly contribute to railway safety, which should
be regulated at Community level by means of a system of
licences and/or certificates which may be similar to the system
established by this Directive.

(*) Two years from the date of entry into force of this Directive.

1.
The competent authority may at any time take steps to
verify, on board trains operating in its area of jurisdiction, that
the train driver is in possession of
the documents issued
pursuant to this Directive.

2.
Notwithstanding verification as provided for in paragraph
1, in the event of negligence at the workplace the competent
authority may verify if the driver in question complies with the
requirements set out in Article 13.

The

competent

authority may carry out

3.
enquiries
regarding compliance with this Directive by drivers, railway
undertakings, infrastructure managers, examiners and training
centres pursuing their activities in its area of jurisdiction.

If the competent authority finds that a driver no longer
it shall take the

4.
satisfies one or more required conditions,
following measures:

(a) if it concerns a licence issued by the competent authority:
the competent authority shall suspend the licence. The
suspension shall be temporary or permanent depending on
the scale of the problems created for rail safety. It shall
immediately inform the driver concerned and his employer
of its reasoned decision, without prejudice to the right of
appeal provided for in Article 21.
indicate the
procedure to be followed for recovering the licence;

It shall

(b) if it concerns a licence issued by a competent authority in
another Member State,
the competent authority shall
approach that authority and provide a reasoned request
either that a further inspection be carried out or that the
licence be suspended. The requesting competent authority
inform the Commission and the other competent
shall
authorities of
its request. The authority that issued the
licence in question shall examine the request within four
weeks and notify the other authority of its decision. The
authority that
issued the licence shall also inform the
Commission and the other competent authorities of the
decision. Any competent authority may prohibit
train
drivers from operating in its area of jurisdiction pending
notification of the issuing authority's decision;

(c) if it concerns a certificate: the competent authority shall
approach the issuing body and request either that a further
the certificate be
that
inspection be carried out or
suspended. The
appropriate
take
issuing body shall
measures and report back to the competent authority
within a period of four weeks. The competent authority
may prohibit train drivers from operating in its area of
jurisdiction pending the report of the issuing body, and
shall
inform the Commission and the other competent
authorities thereof.

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At all events, if the competent authority considers that a par-
ticular driver creates a serious threat to the safety of the rail-
ways, it shall immediately take the necessary action, such as
asking the infrastructure manager to stop the train and prohi-
biting the driver from operating in its area of jurisdiction for as
long as necessary.
inform the Commission and the
It shall
other competent authorities of any such decision.

In all cases the competent authority, or the body designated for
this, shall update the register provided for in Article 22.

If a competent authority considers that a decision taken
5.
by a competent authority in another Member State pursuant to
paragraph 4 fails to comply with the relevant criteria,
the
matter shall be referred to the Commission which shall deliver
its opinion within three months.
If necessary, corrective
measures shall be proposed to the Member State concerned. In
the event of disagreement or dispute,
the matter shall be
referred to the Committee mentioned in Article 31(1), and the
Commission shall
take whatever measures are necessary in
accordance with the procedure referred to in Article 31(2). A
Member State may maintain a prohibition on a driver driving
on its territory in accordance with paragraph 4 until the matter
is concluded in accordance with this paragraph.

Article 29

Penalties

Without prejudice to any other penalties or procedures estab-
lished by this Directive, the Member States shall lay down rules
on penalties applicable to infringements of the national provi-
sions 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 35 at the latest and shall notify it without delay of any
subsequent amendment affecting them.

CHAPTER X

FINAL PROVISIONS

Article 30

Adaptation of the Annexes

The Annexes shall be adapted to scientific and technical
progress,
in accordance with the procedure referred to in
Article 31(2).

Article 31

Committee

2. Where reference is made to this paragraph, Articles 5 and
7 of Decision 1999/468/EC shall apply, having regard to the
provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC
shall be set at three months.

3.

The Committee shall adopt its Rules of Procedure.

Article 32

Report

train drivers in accordance with this Directive.

The Agency shall evaluate the development of the certification
of
It shall
submit to the Commission, not later than four years following
the adoption of
the registers, as
the basic parameters of
provided for in Article 22(3), a report containing, where appro-
priate, improvements to be made to the system as regards:

(a) the procedures for issuing licences and certificates;

(b) the accreditation of training centres and examiners;

(c) the quality system put in place by the competent authori-

ties;

(d) the mutual recognition of certificates;

(e) the adequacy of

the training requirements specified in
Annexes IV, V and VI in relation to the market structure
and the categories mentioned in point (a) of Article 4(2);

(f) the interconnection of registers and mobility in the employ-

ment market.

Furthermore,
if appropriate,
in this report the Agency may,
recommend measures regarding the theoretical and practical
examination of the professional knowledge of applicants for
the harmonised certificate for rolling stock and relevant infra-
structure.

The Commission shall take appropriate measures on the basis
of
if necessary,
changes to this Directive.

these recommendations and shall propose,

Article 33

Use of smartcards

The Agency shall examine by … (*) the possibility of using a
smartcard combining the licence and certificates provided for
in Article 4 and shall prepare a cost/benefit analysis. Where
appropriate, the Commission shall adopt, in accordance with
the procedure referred to in Article 31(2) and on the basis of a
draft prepared by the Agency,
the technical and operating
specifications for such a smartcard. The introduction of the
smartcard may require adaptation of the annexes in accordance
with Article 30.

The Commission shall be assisted by the Committee set

1.
up by Article 21 of Directive 96/48/EC.

(*) Five years from the date of entry into force of this Directive.

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Article 34

Cooperation

(b) Within two years from the setting-up of the registers
provided for in point 1, all new licences and certificates
shall be issued in accordance with this Directive,
without prejudice to the provisions of point 3.

Member States shall assist one another in the implementation
of this Directive. Competent authorities shall cooperate during
this phase of implementation.

The Agency shall assist this cooperation and organise appro-
priate meetings with representatives of the competent authori-
ties.

Article 35

Implementation

1. Member States shall bring into force the laws, regulations
and administrative provisions necessary to comply with this
forthwith inform the
Directive before … (*). They shall
Commission thereof.

When Member States adopt these measures, they shall contain
a reference to this Directive or shall be accompanied by such a
reference on the occasion of their official publication. The
methods of making such reference shall be laid down by
Member States.

2. Member States shall communicate to the Commission the
text of the main provisions of national law which they adopt in
the field covered by this Directive. The Commission shall
inform the other Member States thereof.

3.
The obligations for transposition and implementation of
this Directive shall not apply to Cyprus and Malta as long as no
railway system is established within their territory.

Article 36

Gradual phasing-in and transition periods

This Directive shall be phased in gradually as indicated below.

1. The registers provided for in Article 22 shall be set up
within two years from the adoption of the basic parameters
of the registers provided for in Article 22(3).

2.

(a) Within two years from the adoption of the basic para-
meters of the registers provided for in Article 22(3),
certificates or licences shall be issued in accordance with
this Directive
cross-border
services, cabotage services or freight services in another
Member State, or work in at least two Member States,
without prejudice to the provisions of point 3.

to drivers performing

From that same date, all train drivers performing the
services listed above, including those not yet licensed or
certified in accordance with this Directive, shall comply
with the regular checks as envisaged by Article 16.

(*) Twenty-four months from the date of entry into force of this Direc-

tive.

(c) Within seven years from the setting-up of the registers
provided for in point 1, all drivers shall hold licences
and certificates in conformity with this Directive. The
issuing bodies shall take into account all professional
competencies already acquired by each driver in such a
way that this requirement does not generate unnecessary
administrative and financial burdens. Entitlements to
drive previously granted to drivers shall be safeguarded,
as far as possible. The issuing bodies may nevertheless
decide, for individual drivers or for groups of drivers, as
and/or
appropriate,
training are necessary in order to obtain licences and/or
certificates under this Directive.

examinations

additional

that

3. Drivers, authorised to drive in accordance with the provi-
sions which applied prior to the application of the provi-
sions of this Directive under point 2(a) or (b) may continue
to pursue their professional activities on the basis of their
entitlements, and without applying the provisions of this
Directive, for up to seven years from the setting up of the
registers provided for in point 1.

In the case of apprentices who started an approved educa-
tion and training programme or an approved training
course prior to the application of the provisions of this
Directive under point 2(a) or (b), Member States may certify
these apprentices in accordance with existing national provi-
sions.

For drivers and apprentices referred to in this point, the
competent authority or authorities involved may, in excep-
tional cases, grant exemptions from the medical require-
ments laid down in Annex II. The validity of any licence
issued with such exemption shall be limited to the territory
of the Member States concerned.

4. Competent authorities, railway undertakings and infrastruc-
ture managers
shall ensure the gradual application of
regular checks corresponding to those provided for by
Article 16 to drivers who do not hold licences and certifi-
cates in conformity with this Directive.

5. Where a Member State so requests, the Commission shall
ask the Agency, in consultation with that Member State, to
carry out a cost/benefit analysis of the application of the
provisions contained in this Directive to train drivers oper-
ating exclusively on the territory of that Member State. The
cost/benefit analysis shall cover a period of ten years. This
cost/benefit analysis shall be submitted to the Commission
within two years
the registers
provided for in point 1.

from the setting-up of

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If this cost/benefit analysis shows that the costs of applying
the provisions of
this Directive to such train drivers
outweigh the benefits, the Commission, in accordance with
the procedure referred to in Article 31(2), shall adopt a deci-
sion within six months following the submission of the
results of this cost/benefit analysis. The decision may be that
the provisions of point 2(b) and (c) of this Article do not
have to be applied to such train drivers for a period of up
to ten years on the territory of the Member State concerned.

No later than 24 months prior to the expiry of
this
temporary exemption period, the Commission, taking into
account relevant developments in the railway sector in the
in accordance with the
Member State concerned, may,
procedure referred to in Article 31(2), request the Agency to
carry out another cost/benefit analysis, to be submitted to
the Commission no later than 12 months prior to the
expiry of this temporary exemption period. The Commis-
sion shall take a decision in accordance with the procedure
described in the second subparagraph of this point.

Article 37

Entry into force

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

Article 38

This Directive is addressed to the Member States.

Done at Brussels,

For the European Parliament

The President

…

For the Council

The President

…

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COMMUNITY MODEL LICENCE AND HARMONISED 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 card must be made of polycarbonate.

The methods for verifying the characteristics of the driving licences to ensure that they are consistent with interna-
tional standards must comply with ISO standard 10373.

2. CONTENTS OF THE LICENCE

The front of the licence must 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;

(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 licence issued, numbered as follows:

(i) the surname of the holder;

(ii) other name(s) of the holder;

(iii) the date and place of birth of the holder;

(iv) — the date of issue of the licence,

— the date of expiry of the licence,

— the name of the issuing authority,

— the reference number assigned to the employee by the employer (optional);

(v) the number of the licence giving access to data in the national register;

(vi) a photograph of the holder;

(vii) the signature of the holder;

(viii) the permanent place of residence or postal address of the holder (optional);

(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;

(g) additional information, or medical restrictions for use imposed by a competent authority in accordance with

Annex II, in code form.

The codes shall be decided by the Commission, following the procedure referred to in Article 31(2), on the basis
of a recommendation from the Agency.

3. CERTIFICATE

The certificate must contain:

(a) the surname of the holder;

(b) other name(s) of the holder;

(c) the date and place of birth of the holder;

(d) — the date of issue of the certificate,

— the date of expiry of the certificate,

— the name of the issuing authority,

— the reference number assigned to the employee by the employer (optional);

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(e) the number of the licence giving access to data in the national register;

(f) a photograph of the holder;

(g) the signature of the holder;

(h) the permanent place of residence or postal address of the holder (optional);

(i) the name and address of the railway undertaking or infrastructure manager for which the driver is authorised to

drive trains;

(j) the category in which the holder is entitled to drive;

(k) the type or types of rolling stock which the holder is authorised to drive;

(l) the infrastructures on which the holder is authorised to drive;

(m) any additional information or restrictions;

(n) language skills.

4. MINIMUM DATA CONTAINED IN NATIONAL REGISTERS

(a) Data relating to the licence:

All data appearing on the licence plus data relating to checking requirements set out in Article 11 and 16.

(b) Data relating to the certificate:

All data appearing on the certificate plus data relating to checking requirements set out in Articles 12, 13 and
16.

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ANNEX II

MEDICAL REQUIREMENTS

1. GENERAL REQUIREMENTS

1.1. Drivers must not be suffering from any medical conditions or be taking any medication, drugs or substances which

are 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.

1.2. Vision

The following requirements as regards vision must be complied with:

— aided or unaided distance visual acuity: 1,0; minimum of 0,5 for the worse eye,

— maximum corrective lenses: hypermetropia +5/myopia -8. Derogations are authorised in exceptional cases and

after having obtained the opinion of an eye specialist. The medical doctor then takes the decision,

— near and intermediate vision: sufficient, whether aided or unaided,

— contact lenses and glasses are authorised when periodically checked by a specialist,

— 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; not required when person has adequate adaptation and sufficient compensation

experience. Only in case he lost binocular vision after starting his job,

— binocular vision: effective,

— recognition of colour signals: the test shall be based on recognition of single colours and not on relative differ-

ences,

— 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 medical doctor,

— ability to withstand dazzle,

— coloured contact lenses and photochromatic lenses are not allowed. UV filter lenses are allowed.

1.3. Hearing and speaking 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,

— no anomaly of the vestibular system,

— no chronic speech disorder (given the necessity to exchange messages loudly and clearly),

— the use of hearing aids is allowed in special cases.

1.4. 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. Legal provisions protecting pregnant drivers must be applied.

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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, testing among others for diabetes millitis, insofar as they are necessary to judge the candi-

date's physical aptitude,

— an Electro-Cardiogram (ECG) at rest,

— tests for psychotropic substances such as illicit drugs or psychotropic medication and the abuse of alcohol

calling into question the fitness for the job,

— cognitive: attention and concentration; memory; perception; reasoning,

— communication,

— psychomotor: reaction time, hand coordination.

2.2. Occupational psychological examinations

The purpose of the occupational psychological examinations is to assist in the appointment and management of
staff. In determining the content of the psychological evaluation, the examination must assess that the applicant
driver has no established occupational psychological deficiencies, particularly in operational aptitudes or any rele-
vant personality factor, which are likely to interfere with the safe exercise of the duties.

3.

PERIODIC EXAMINATIONS AFTER APPOINTMENT

3.1. Frequency

Medical examinations (physical fitness) must be taken at least every three years up to the age of 55, thereafter every
year.

In addition to this frequency, the medical doctor must increase the frequency of examinations if the health of the
member of staff so requires.

Without prejudice to Article 16(1) an appropriate medical examination must be carried out when there is a reason
to doubt that a holder of the licence or certificate no longer fulfils the medical requirements set out in section 1 of
Annex II.

Physical fitness must be checked regularly and after any occupational accident. The medical doctor or the medical
service of the undertaking can decide to carry out an additional appropriate medical examination, particularly after
a period of at least 30 days' sick leave. The employer must ask the physician to check the physical fitness of the
driver if the employer had to withdraw the driver from service for safety reasons.

3.2. Minimum content of the periodic medical examination

If the driver complies with the criteria required for the examination which is carried out before appointment, the
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 drugs where clinically indicated.

In addition, an ECG at rest is also required for train drivers over 40 years of age.

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ANNEX III

TRAINING METHOD

There must be a good balance between theoretical training (classroom and demonstrations) and practical training (on-
the-job experience, driving with supervision and driving without supervision on tracks which are closed off for training
purposes).

Computer-aided training must be accepted for individual learning of the operational rules, signalling situations, etc.

The use of simulators, although not obligatory, may be useful for the effective training of drivers; they are particularly
useful for training in abnormal working conditions or for rules infrequently applied. They have a particular advantage in
their ability to provide learning-by-doing capability for events that cannot be trained in the real world. In principle,
simulators of the latest generation must be used.

Concerning the acquisition of route knowledge, the approach to be favoured must be where the train driver accompa-
nies another driver for an appropriate number of journeys along the route, in daylight as well as at night. Videos of the
routes as seen from the driver's cab may be used, among other methods, as an alternative training method.

GENERAL PROFESSIONAL KNOWLEDGE AND REQUIREMENTS REGARDING THE LICENCE

ANNEX IV

The general training has the following objectives:

— acquiring the knowledge and procedures regarding of railway technologies, including safety principles and the philo-

sophy behind 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 the principles guiding one or more railway operating modes,

— acquiring knowledge and procedures regarding trains, their composition and technical requirements on traction

units, wagons, coaches and other 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 rolling stock,

— 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.),

— learn behaviours which are compatible with safety-critical responsibilities,

— 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 basic principles of electrotechnology.

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ANNEX V

PROFESSIONAL KNOWLEDGE OF ROLLING STOCK AND REQUIREMENTS REGARDING THE CERTIFI-
CATE

After completing specific training in relation to rolling stock, drivers must be able to carry out the following tasks:

1. TESTS AND CHECKS PRIOR TO DEPARTURE

Drivers must be able to:

— 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,

— checking the availability and functionality of the prescribed protection and safety equipments at the handover of

a locomotive or at the start of a trip,

— 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 par-
ticular those concerning:

— traction,

— braking,

— traffic safety-related elements.

In order to detect and locate anomalies in the rolling stock, report them and determine what is required to repair
them, and in certain cases, to take action, drivers must be familiar with:

— mechanical structures,

— suspension and attachment equipment,

— running gear,

— safety equipment,

— fuel tanks, fuel supply system, exhaust equipment,

— the meaning of markings on the inside and outside of the rolling stock, in particular the symbols used for the

transportation of dangerous goods,

— trip registration systems,

— electrical and pneumatic systems,

— collection of current and high-voltage systems,

— communication equipment (ground-to-train radio, etc.),

— arrangements of trips,

— 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,

— braking system,

— the parts specific to traction units,

— traction chain, motors and transmission.

3. TESTING THE BRAKES

Drivers must be able to:

— check and calculate, before departure, that the train's braking power corresponds to the braking power required

for the line as specified in the vehicle documents,

— check the functioning of the various components of the braking system of the traction unit and of the train, as

appropriate, before departure, at start-up and during running.

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

Drivers must be able to:

— take note of information given to them before departure,

— determine the type of running and the limit speed of the train on the basis of variables such as speed limits,

weather conditions or any signalling changes.

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

Drivers must be able to:

— use all available control systems in accordance with the applicable rules,

— start the train taking account of adhesion and power constraints,

— apply the brakes for decelerations and stops, taking account of the rolling stock and installations.

6. ANOMALIES

Drivers must:

— be able to be attentive to unusual occurrences concerning the behaviour of the train,

— be able to inspect the train and identify signs of anomalies, distinguish between them, react according to their

relative importance and try to remedy them, always giving priority to the safety of rail traffic and persons,

— know the available means of protection and communication.

7. OPERATING INCIDENTS AND ACCIDENTS, FIRES AND ACCIDENTS INVOLVING PERSONS

Drivers must:

— be able to take steps to protect the train and summon assistance in the event of an accident involving persons on

board the train,

— be able to determine whether the train is transporting dangerous goods and identify them on the basis of train

documents and wagon lists,

— know the procedures relating to the evacuation of a train in case of emergency.

8. CONDITIONS FOR CONTINUING RUNNING AFTER AN INCIDENT INVOLVING ROLLING STOCK

After an incident, drivers must be able to assess whether the vehicle can continue to run and under what conditions,
so as to inform the infrastructure manager of those conditions as soon as possible.

Drivers must be able to determine if an expert evaluation is necessary before the train can continue.

9. IMMOBILISATION OF THE TRAIN

Drivers must be able to take measures to ensure that the train, or parts thereof, does not start up or move unexpect-
edly, even in the most difficult conditions.

Furthermore, drivers must have knowledge about measures which can stop a train or parts thereof in case it has
started to move unexpectedly.

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ANNEX VI

PROFESSIONAL KNOWLEDGE OF INFRASTRUCTURE AND REQUIREMENTS REGARDING THE CERTIFI-
CATE

1. TESTING THE BRAKES

Matters relating to infrastructure

Drivers must be able to check and calculate, before departure, that the train's 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, such as the speed limits or any signalling changes,

— determine the type of running and the limit 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 other performances, such
as punctuality and economic aspects. They must therefore have a thorough knowledge of the railway lines and instal-
lations on their route and of any alternative routes agreed on.

The following aspects are important:

— operational conditions (changes of track, one-way running, etc.),

— perform a route check and consult the relevant documents,

— identification of tracks that can be used for a given type of running,

— the applicable traffic rules and the meaning of the signalling system,

— 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,

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

4. SAFETY REGULATIONS

Drivers must be able to:

— start the trains only when all prescribed conditions are fulfilled (timetable, start order or signal, operation of

signals if required, etc.),

— observe track-side and 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 pass 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 be able to:

— 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.

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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,

— 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,

— taking into account the infrastructure, ensure or take measures to ensure the safety of traffic and persons, when-

ever necessary.

7. OPERATING INCIDENTS AND ACCIDENTS, FIRES AND ACCIDENTS INVOLVING PERSONS

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,

— inform the infrastructure manager of these conditions as soon as possible,

— assess whether the infrastructure allows the vehicle to continue to run and under which conditions.

8. LANGUAGE TESTS

Drivers 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.

They must be able to use the messages and communication method specified in the ‘Operations’ TSI. Drivers must be
able to communicate according to level 3 of the following table:

Language and Communication Level

The oral qualification in a language can be subdivided into five levels:

Level

Description

5

4

3

2

1

— can adapt the way he/she speaks to any interlocutor
— can put forward an opinion
— can negotiate
— can persuade
— can give advice

— can cope with totally unforeseen situations
— can make assumptions
— can express an argued opinion

— can cope with practical situations involving an unforeseen element
— can describe
— can keep a simple conversation going

— can cope with simple practical situations
— can ask questions
— can answer questions

— can talk using memorised sentences

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ANNEX VII

FREQUENCY OF EXAMINATIONS

The minimum frequency of the periodic checks shall be as follows:

(a) linguistic knowledge (only for non-native speakers): every three years or after any absence of more than one year;

(b) infrastructure knowledge (including route and operation rules knowledge): every three years or after any absence of

more than one year on the relevant route;

(c) knowledge of rolling stock: every three years.

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STATEMENT OF THE COUNCIL'S REASONS

I. INTRODUCTION

The Commission presented the proposal for a Directive on the certification of train crews operating
locomotives and trains on the Community's rail network railways on 3 March 2004 as one of the four
proposals of the Third Railway Package (1).

On 28 September 2005, the European Parliament voted its opinion in 1st reading.

On 14 September 2006, the Council adopted its Common Position in accordance with Article 251 of
the Treaty.

In carrying out its work, the Council took account of the opinions of the European Economic and
Social Committee (2) and of the Committee of the Regions (3).

II. Analysis of the Common Position

1. General

The negotiations on the certification of train crews took place in a policy context shaped by the
Commission's White Paper on European transport policy for 2010 (4), as well as by the First and
the Second Railway Package. In the White Paper the Commission underlined the need for ‘engine
drivers who could drive anywhere on the trans-European network’. The First and the Second
Railway Package contain detailed provisions on infrastructure access, interoperability and rail safety
at national and European level, thereby providing the framework necessary for opening the market
for freight services and for international passenger services.

With regard to market opening, it became clear that common rules had to be adopted on certifica-
tion of train drivers to facilitate their interoperability and to guarantee conditions for the free move-
ment of workers in the rail sector.

The Common Position as agreed by Council lays down the conditions and procedures for the certifi-
cation of train drivers operating locomotives and trains on the railway system in the Community. It
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. Moreover, the proposal sets minimum requirements for physical
and mental fitness, obligatory periodic checks and the description of skills a driver must have. The
draft Directive will apply to train drivers only. Other train crew on board locomotives and trains
who participate directly or indirectly in driving and/or in other safety critical tasks will not be
covered by its provisions. It also contains a specific procedure for temporary exemption from its
scope of domestic drivers who only circulate within the borders of the Member States.

2. Key policy issues

(i) Exclusion of other staff

The proposal of the Commission foresaw a scope covering the certification of drivers and of
other train crew on board locomotives and trains who participate directly or indirectly in
driving and/or in other safety critical tasks. The inclusion of ‘other crew’ stems from an under-
taking by the Commission in the context of negotiations pertaining to the Second Railway
Package (5).

(1) The other 3 legislative proposals concern:

— Regulation on rights and obligations for passengers in international rail transport (doc. 7149/04 TRANS109

CODEC 337);

— Regulation on quality obligations for rail freight services (doc. 7150/04 TRANS 110 CODEC 338);
— Directive amending Directive 91/440/EEC on the development of the Community's Railways (doc. 7147/04

TRANS 107 CODEC 335).

(2) OJ C 221, 9.9.2005, p. 20.
(3) OJ C 71, 22.03.2005, p. 26.
(4) doc. 11932/01 TRANS 131 AVIATION 70 MAR 76.
(5) cf. Directive 2004/49/EC on the Community's railways (Safety Directive) (OJ L 220, 21.06.2004, p. 16-31 (recital

21)).

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Council examined carefully the European Parliament's first reading position suggesting the inclu-
sion of train crews within the scope of the draft Directive and the addition of a mechanism for
certification in Article 25.

However, in its Common Position, the Council nevertheless limits the scope of the draft Direc-
tive to train drivers. While not opposing the principle of certification of ‘other crew’, Council
considers such an extended scope as premature as it is not known which personnel will fall into
such a category, nor which tasks they shall perform. Consequently, a provision has been added
to the draft Directive giving the European Railway Agency the task to draw up a report identi-
fying the profile and tasks of such other staff. This report shall be presented two years after the
entry into force of this Directive (cf. Article 25).

Council has also included a special provision safeguarding the free circulation of freight trains
throughout the territory of the European Union (cf. Article 3, second alinea).

ii) Certification of ‘domestic drivers’

Following the Commission proposal, the Council decided to apply the provisions of this draft
Directive to all train drivers within the Community. This implies that domestic drivers who only
circulate within the borders of a Member State are also included within its scope.

However, the Council decided that a Member State may request from the Commission that the
European Railway Agency carry out a cost/benefit analysis of the application of the provisions
in the Directive to train drivers operating exclusively on the territory of that Member State. If
this analysis shows that the costs of the application of the provisions contained in this Directive
to such train drivers outweigh the benefits, the Commission shall adopt a decision within 6
months following the submission of the results of this cost/benefit analysis. The decision of the
Commission based on this analysis may have the effect that the Directive does not have to be
applied to domestic train drivers for a period of up to 10 years on the territory of the Member
State concerned. If need be, a new exemption period can be granted under a similar procedure.
(cf. Article 34.5)

The European Parliament shares Council's views in that respect and adopted a similar procedure
in the second part of its amendment 40.

iii) Gradual phasing in

In its proposal the Commission suggests a phasing-in period in three stages, spread over the
years 2006 to 2015.

In its opinion in first reading (first part of amendment 40), the European Parliament followed
the Commission's approach, but decided to advance the dates by one year.

In its Common Position the Council follows the Commission's three step approach in principle,
but does not tie the individual stages to fixed dates. The phasing-in (the delivery of ‘new’
licences and/or certificates in conformity with this Directive), which the Council adopted,
presents itself as follows:

Starting from the date on which the necessary national registers will have been set up:

1. after 1 year: application to new drivers — involved in cross-border services, cabotage or
freight services in another Member State, or working in more than one Member State -and
to drivers that already worked on those services, but who require a new licence or certificate;

2. after 3 years: application to all drivers who need a new licence or certificate;

3. after 8 years: application to all drivers.

A flanking provision contained in Article 34.3 ensures that a driver may continue driving on
the basis of his existing entitlements, until the provisions of paragraph 34.2 a), b) or c) apply.

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III. Amendments of the European Parliament

Council was able to accept in full amendments 27, 36 and 44 of the European Parliament. As already
explained above, Council rejected amendments 7, 9, 11, 34, 35 and 40 (first part). Concerning amend-
ments 15, 24, 25, 26, 32, 38, 39, and 45 Council decided to follow the European Commission and to
reject them. Amendments 1, 2, 3, 4, 5, 6, 8, 10, 12, 13, 14, 17, 18, 19, 21, 22, 23, 28, 29, 30, 31,
33, 37, 40 (second part) 41, 42, 43, 46 and 47 are similar to Council's Common Position or close to
the spirit in which it has been drafted.

IV. Conclusion

In establishing its Common Position, the Council has taken full account of the proposal of the
Commission and the European Parliament's opinion in first reading. With respect to the amendments
proposed by the European Parliament, the Council observes that a considerable number of amend-
ments have — in spirit, partially or in full — already been covered in its Common Position.

Concerning the two main issues of disagreement — the inclusion of train crews within the scope of
the draft Directive and the timing of its phasing-in (dates) — Council considers its solutions to be a
balanced and appropriate response.