Directive 2007/59/EC of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Community
Date: 2007-10-23
Institutions: Council of the European Union, European Parliament
Subjects: common transport policy, drivers, intra-EU transport, rail network, recognition of vocational training qualifications, single market, vocational training

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DIRECTIVE 2007/59/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 23 October 2007

on the certification of train drivers operating locomotives and trains on the railway
system in the Community

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

Having regard to the Treaty establishing the European Commu-
nity, and in particular Article 71 thereof,

Having regard to the proposal from the Commission,

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

Having regard to the Opinion of the Committee of the Regions (2),

Acting in accordance with the procedure laid down in Article 251
of the Treaty, in the light of the joint text approved by the Con-
ciliation Committee on 31 July 2007 (3),

Whereas:

(1)

(2)

(3)

Directive 2004/49/EC (4) of the European Parliament and
of the Council of 29 April 2004 on safety on the Commu-
nity’s railways requires infrastructure managers and railway
undertakings to establish their safety management systems
in such a way that the railway system is at least able to
achieve the common safety targets and comply with the
national safety rules and safety requirements defined in the
technical specifications for interoperability (TSIs) and that
the relevant parts of 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.

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

Under Council Directive 91/440/EEC of 29 July 1991 on
the development of the Community’s railways (5), licensed
railway undertakings have had, since 15 March 2003, a
right of access to the trans-European freight network for
international rail freight services and , from 2007 at the

(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 September 2005
(OJ C 227 E, 21.9.2006, p. 464), Council Common Position of 14 Sep-
tember 2006 (OJ C 289 E, 28.11.2006, p. 42), Position of the Euro-
pean Parliament of 18 January 2007 (not yet published in the Official
Journal), Legislative Resolution of the European Parliament of 25 Sep-
tember 2007 and Council Decision of 26 September 2007.

(4) OJ L 164, 30.4.2004, p. 44. Corrected version in OJ L 220, 21.6.2004,

p. 16.

latest, will have a right of access to the entire network for
domestic and international freight 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 growing demand for drivers trained
and certified for operation in more than one Member State.

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 considerably.
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 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.

The aim of these common provisions should be above all
to make it easier for train drivers to move from one Mem-
ber State to another, but also to make it easier for them to
move from one railway undertaking to another, and gen-
erally for licences and harmonised complementary certifi-
cates to be recognised by all railway sector stakeholders. To
this end, it is essential that the provisions establish mini-
mum requirements which applicants should meet to obtain
a licence or harmonised complementary certificate.

This Directive follows and is largely based on the historic
joint Agreement concluded by the European Transport
Workers’ Federation (ETF) and the Community of Euro-
pean Railways (CER) on certain aspects of the working
conditions of mobile workers engaged in interoperable
cross-border services (6).

Even if a Member State excludes from the scope of this
Directive drivers exclusively operating on certain catego-
ries of rail systems, networks and infrastructure, this should
not limit in any way the obligation of that Member State
to respect the validity of licences throughout the territory
of the European Union or of harmonised complementary
certificates on the relevant infrastructure.

(4)

(5)

(6)

(7)

(8)

(5) OJ L 237, 24.8.1991, p. 25. Directive as last amended by Directive

2006/103/EC (OJ L 363, 20.12.2006, p. 344).

(6) OJ L 195, 27.7.2005, p. 18.

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(9)

(10)

(11)

(12)

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

In order to increase its cost-effectiveness, the training
which train drivers should undergo in order to obtain a
harmonised complementary certificate should 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 freight 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 new,
emerging structure of the market.

Railway undertakings and infrastructure managers issuing
harmonised complementary certificates may themselves
provide training for general professional knowledge, lin-
guistic knowledge, knowledge of rolling stock and infra-
structures. However, with regard to examinations, any
conflict of interests should be avoided, without excluding
the possibility that an examiner may belong to the railway
undertaking or infrastructure manager issuing the harmo-
nised complementary certificate.

In accordance with Article 13(4) of Directive 2004/49/EC,
railway undertakings and infrastructure managers are
responsible for the level of training of the drivers they
employ. To this end, railway undertakings and infrastruc-
ture managers should take into account the training and
competences acquired previously by those drivers,
in
accordance with Article 13(3) of that Directive. It is also
important to ensure that a sufficient number of drivers is
trained. In this context, it is necessary, however, to take
measures to ensure that investments made by a railway
undertaking or an infrastructure manager for the training
of a driver do not unduly benefit another railway under-
taking or infrastructure manager in the case where that
driver voluntarily leaves the former for the latter railway
undertaking or infrastructure manager. These measures
can be of any kind, such as for example national legisla-
tion, collective labour agreements, contractual clauses
between driver and employer, or agreements determining
the rehire of drivers belonging to one undertaking by
another in the case where drivers are party to such
agreements.

(13)

Staff competences and health and safety conditions are
being developed in the context of the interoperability
directives, in particular as part of the ‘traffic management

and operation’ TSIs. There is a need to ensure coherence
between these TSIs and the Annexes to this Directive. The
Commission will achieve this by modifying or adapting the
relevant TSI to this Directive and its Annexes using the
procedures provided for in Council Directive 96/48/EC of
23 July 1996 on the interoperability 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).

In order to increase the freedom of movement of workers
and safety on Community railways, special attention
should be paid to other crew members performing safety-
critical tasks on locomotives and trains. Therefore Mem-
ber States should ensure that other crew members
performing safety-critical tasks meet the minimum require-
ments set out in the TSI on operation and traffic manage-
ment. Taking account of the national
implementation
plans to be notified by the Member States in relation to the
implementation of that TSI, the Agency should identify
possible options for the certification of other crew mem-
bers performing safety-critical tasks and assess the impact
of these different options. On the basis of this report, the
Commission should, if appropriate, present a proposal
with regard to the conditions and procedures for the cer-
tification of other crew members performing safety-critical
tasks on locomotives and trains.

The requirements pertaining to licences and harmonised
complementary certificates set out 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 discrimina-
tory manner, pertaining to railway undertakings, infra-
structure managers, infrastructure and rolling stock should
equally be complied with before a driver may drive a train
on a specific 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 (3),
and of Regulation (EC) No 45/2001 of the European Par-
liament and of the Council of 18 December 2000 on the
protection of individuals with regard to the processing of
personal data by the Community institutions and bodies
and on the free movement of such data (4).

(14)

(15)

(16)

(1) OJ L 235, 17.9.1996, p. 6. Directive as last amended by Commission

Directive 2007/32/EC (OJ L 141, 2.6.2007, p. 63).

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

Directive 2007/32/EC.

(3) OJ L 281, 23.11.1995, p. 31. Directive as amended by Regulation (EC)

No 1882/2003 (OJ L 284, 31.10.2003, p. 1).

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

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(17)

In order to guarantee the necessary uniformity and trans-
parency, the Community should establish a single certifi-
cation model, mutually recognised by the Member States,
attesting both to train drivers’compliance with certain
minimum conditions, and to their professional qualifica-
tions 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 certificates.

(18)

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

(19) 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 cer-
tification 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.

(20)

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

(21)

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.

(22)

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.

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 pos-
sible. The qualifications and experience of each driver, or
group of drivers, should be taken into account by the issu-
ing 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 additional examination
and/or training before they can receive replacement
licences and harmonised complementary certificates.
Therefore, it should be a matter for the issuing body to
decide whether qualifications and/or experience suffice to
issue the required licences and harmonised complementary
certificates, without there being any need for further exami-
nation or training.

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

(25)

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 recognition
scheme set up under Directive 2005/36/EC of the Euro-
pean Parliament and of the Council of 7 September 2005
on the recognition of professional qualifications (1), which
shall continue to apply until the end of the transition
period.

(26)

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 con-
ferred on the Commission (2).

(27)

In particular, the Commission should be empowered to
establish the conditions and criteria necessary for the
implementation of this Directive. Since those measures are
of general scope and are designed to amend non-essential
elements of this Directive, or to supplement it with new
non-essential elements, they must be adopted in accor-
dance with the regulatory procedure with scrutiny pro-
vided for in Article 5a of Decision 1999/468/EC.

(23) Unnecessary administrative and financial burdens should
be avoided when replacing authorisations to drive issued
to drivers before the application of the relevant provisions
this Directive with harmonised complementary
of

(1) OJ L 255, 30.9.2005, p. 22. Directive as last amended by Council

Directive 2006/100/EC (OJ L 363, 20.12.2006, p. 141).

(2) OJ L 184, 17.7.1999, p. 23. Decision as amended by Decision

2006/512/EC (OJ L 200, 22.7.2006, p. 11).

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(28) When, on imperative grounds of urgency, the normal time-
limits for the regulatory procedure with scrutiny cannot be
complied with, the Commission should be able to have
recourse to the urgency procedure provided for in
Article 5a(6) of Decision 1999/468/EC for the adoption of
Community criteria for the choice of examiners and exami-
nations as provided for by this Directive, and for the adap-
tation to scientific and technical progress of the Annexes
to this Directive, as provided for thereby.

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

OBJECTIVE, SCOPE AND DEFINITIONS

Article 1

Objective

(29)

In accordance with point 34 of the Interinstitutional Agree-
ment on better law-making (1), Member States are encour-
aged to draw up, for themselves and in the interests of the
Community, their own tables illustrating, as far as possible,
the correlation between this Directive and the transposi-
tion measures, and to make them public.

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 driv-
ers and other stakeholders in the sector, in particular railway
undertakings, infrastructure managers and training centres, are
responsible.

(30) Member States should provide for controls regarding com-
pliance with this Directive and appropriate action where a
driver infringes any provision of this Directive.

Article 2

Scope

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

1.
This Directive shall apply to train drivers operating locomo-
tives and trains on the railway system in the Community for a
railway undertaking requiring a safety certificate or an infrastruc-
ture manager requiring a safety authorisation.

(32)

(33)

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 sufficiently
achieved by the Member States, and can therefore, by rea-
son of the scale and effects of this Directive, 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.

for

reasons of

cost-
It might prove appropriate,
effectiveness, to exempt for a limited period of time train
drivers operating exclusively on the territory of one Mem-
ber State from application of the provisions of this Direc-
tive 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.

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

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 traffic
for the purpose of maintaining, renewing or upgrading the
railway system.

(34) A Member State which has no railway system, and no
immediate prospect of having one, would be under a dis-
proportionate and pointless obligation if it had to trans-
this Directive. Therefore, such
pose and implement
Member States should be exempted, for as long as they
have no railway system, from the obligation to transpose
and implement this Directive,

Article 3

Definitions

For the purposes of this Directive:

(1) OJ C 321, 31.12.2003, p. 1.

(a)

‘competent authority’ means the safety authority referred to
in Article 16 of Directive 2004/49/EC;

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(b)

(c)

(d)

(e)

(f)

‘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;

‘other crew members performing safety-critical tasks’ means
staff on board the train who are not train drivers but who
help to ensure the safety of the train and of the passengers
and goods being transported;

‘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 Directives
96/48/EC and 2001/16/EC;

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

‘railway undertaking’ means any railway undertaking as
defined in Directive 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 (1), and any other public or
private undertaking, the activity of which is to provide trans-
port 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;

(g)

‘technical specifications for interoperability’ or ‘TSIs’ means
the specifications by which each subsystem or part of a sub-
system is covered in order to meet the essential requirements
and to ensure the interoperability of the trans-European high-
speed and conventional rail systems as defined in Directives
96/48/EC and 2001/16/EC;

(h)

‘Agency’ means the European Railway Agency established by
Regulation (EC) No 881/2004 (2) of the European Parliament
and of the Council of 29 April 2004;

(k)

‘safety authorisation’ means the authorisation issued to an
infrastructure manager by a competent authority in accor-
dance with Article 11 of Directive 2004/49/EC;

(l)

‘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

All train drivers shall have the necessary fitness and qualifi-

1.
cations to drive trains and shall hold the following documents:

(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 requirements
is
of Annex I, until the Community certification model
adopted, as provided for in paragraph 4;

(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.

2.
However, the requirement 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;

(i)

(j)

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

(c)

for exceptional, one-off freight services, provided that the
infrastructure manager agrees;

‘certificate’ means the harmonised complementary certificate
indicating the infrastructure on which the holder is autho-
rised to drive and the rolling stock which the holder is autho-
rised to drive;

(d)

for the delivery or demonstration of a new train or
locomotive;

(e)

for the purposes of training and examining drivers.

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

2004/49/EC.

(2) OJ L 164, 30.4.2004, p. 1. Corrected version in OJ L 220, 21.6.2004,

p. 3.

The use of this possibility shall be a decision of the railway under-
taking and may not be imposed by the relevant infrastructure
manager or by the competent authority.

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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 the

3.
following categories:

(a)

category A: shunting locomotives, work trains, maintenance
railway vehicles and all other locomotives when they are used
for shunting;

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

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

4.
By 4 December 2008 the Commission shall adopt, 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, taking into
account therein anti-forgery measures. These measures, designed
to amend non-essential elements of this Directive by supplement-
ing it, shall be adopted in accordance with the regulatory proce-
dure with scrutiny referred to in Article 32(3).

By 4 December 2008, the Commission shall adopt the measures
designed to amend non-essential elements of this Directive, by
supplementing it, and concerning the Community Codes for the
different types in categories A and B as referred to in paragraph 3
of this Article in accordance with the regulatory procedure with
scrutiny referred to in Article 32(3) and on the basis of a recom-
mendation from the Agency.

Article 5

Anti-fraud measures

Competent authorities and issuing bodies shall take all necessary
steps to avoid the risks of falsification of licences and certificates
and tampering with the registers provided for in Article 22.

Article 6

Ownership, language and issuing bodies

1.
A licence shall be owned by its holder and shall be issued by
the competent authority as defined in Article 3(a). Where a com-
petent 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.

Where a railway undertaking or an infrastructure manager issues
a certificate in a national language which is not a Community lan-
guage, it shall draw up a bilingual version of the certificate using
one of the Community languages.

Article 7

Geographical validity

A licence shall be valid throughout the whole territory of

1.
the Community.

A certificate shall be valid only on those infrastructures and

2.
rolling stock identified on it.

Article 8

Recognition of certification documents of
train drivers of third countries

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 CERTIFICATE

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 certificate
and for it to remain valid, applicants shall hold a licence and sat-
isfy 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. Never-
theless, it shall recognise licences issued by other Member States,
in accordance with Article 7.

S e c t i o n I

Licence

Article 10

Minimum age

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.

Member States shall prescribe the minimum age of licence appli-
cants, 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.

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Article 11

Basic requirements

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

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

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

3.
Applicants shall demonstrate their occupational psychologi-
cal fitness by passing an examination conducted by, or under the
supervision of — to be decided by the Member State — a psy-
chologist or a medical doctor accredited or recognised in accor-
dance 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.

S e c t i o n I I

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

1.
Applicants shall have passed an examination testing their
professional knowledge and competence relating to the rolling
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 knowl-
edge, in accordance with section 8 of Annex VI.

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

CHAPTER IV

PROCEDURE FOR OBTAINING THE LICENCE
AND THE CERTIFICATE

Article 14

Obtaining a licence

The competent authority shall publish the procedure to be

1.
followed for obtaining a licence.

All licence applications shall be lodged with the competent

2.
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 particulars,
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 nec-
essary documents.

5.

A licence shall be valid for 10 years, subject to Article 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 accor-
dance with this Directive, as part of its safety management sys-
tem, 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.

In the event of disagreement, the parties may appeal to the com-
petent authority or any independent appeal body.

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

Article 18

Monitoring of drivers by railway undertakings
and infrastructure managers

In order for a licence to remain valid,

its holder shall
1.
undergo 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 super-
vision of, medical doctors accredited or recognised in accordance
with Article 20. As far as general professional knowledge is con-
cerned, the provisions of Article 23(8) shall apply.

1.
Railway undertakings and infrastructure managers shall be
required to ensure, and to check, that the licences and certificates
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 cer-
tificate, railway undertakings and infrastructure managers shall
immediately take the necessary action.

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.
If a driver considers that his state of health calls into ques-
tion his fitness for the job, he shall immediately inform the rail-
way undertaking or
is
appropriate.

infrastructure manager, whichever

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

the minimum frequencies set out

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

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

Article 17

Cessation of employment

As soon as a railway undertaking or infrastructure manager is
aware or is informed by a medical 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
and, if necessary, the withdrawal of the certificate and the updat-
ing of the register provided for in Article 22(2). 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 con-
centration, 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

Article 19

Tasks of the competent authority

The competent authority shall fulfil the following tasks in a

1.
transparent and non-discriminatory manner:

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

(a)

issuing and updating licences, and providing duplicates, as
provided for in Articles 6 and 14;

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

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

in Article 16(1);

A certificate shall become invalid when its holder ceases to be
employed as a driver. However, the holder shall receive a certified
copy of it and of all documents providing evidence of his train-
ing, qualifications, experience and professional competences.
When issuing a certificate to a driver, a railway undertaking or
infrastructure manager shall take account of all those documents.

(c)

suspending and withdrawing licences, and notifying the issu-
ing body of reasoned requests for the suspension of certifi-
cates, as provided for in Article 29;

(d)

if so designated by the Member State, recognising persons or
bodies as provided for in Articles 23 and 25;

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(e)

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

the relevant EN 45 000 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.

(f)

keeping and updating a register of licences as provided for in
Articles 16(1) and 22(1);

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

in Article 26;

(h) carrying out inspections as provided for in Article 29;

(i)

establishing national criteria for examiners as provided for in
Article 25(5).

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

The competent authority shall not delegate the tasks referred

2.
to in points (c), (g) and (i) of paragraph 1 to third parties.

2.
As an alternative to the accreditation provided for in para-
graph 1, a Member State may provide that persons or bodies rec-
ognised 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 independence, compe-
tence 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 is given by the Commis-
sion in accordance with the regulatory procedure referred to in
Article 32(2).

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

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.

Any delegation of tasks shall be transparent and non-

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

Article 21

Decisions of the competent authority

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

(a)

the railway undertaking issues licences only to its own
drivers;

The competent authority shall state the reasons for its

1.
decisions.

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

(b)

the railway undertaking does not enjoy exclusivity in the ter-
ritory concerned for any of the delegated or contracted tasks.

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

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 para-
graphs 2, 4 and 5 are complied with.

Article 20

Accreditation and recognition

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 pre-
scribed 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;

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 cri-
teria of independence, competence and impartiality, such as

(b)

supply, upon reasoned request, information on the status of
such licences to the competent authorities of the other Mem-
ber States, the Agency or any employer of drivers.

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Each railway undertaking and infrastructure manager shall

2.
be required to:

The training method shall satisfy the criteria laid down in

2.
Annex III.

(a) keep a register, or ensure that a register is kept, of all certifi-
cates 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 certificate, as well as data relating to the periodic checks
provided for in Article 16. It shall be regularly updated;

(b) cooperate with the competent authority of the Member State
where they are domiciled in order to exchange information
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 trans-
national activities.

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

(a)

(b)

the relevant TSIs adopted in accordance with Directive
96/48/EC or Directive 2001/16/EC. In this case, the Commis-
sion shall ensure consistency between the TSIs and
Annexes IV, V and VI; or

the criteria proposed by the Agency pursuant to Article 17
of Regulation (EC) No 881/2004. These criteria, designed to
amend non-essential elements of this Directive by supple-
menting it, shall be adopted in accordance with the regula-
tory procedure with scrutiny referred to in Article 32(3).

3.
Train drivers shall have access to the data concerning them
which is stored in the registers of competent authorities and of
railway undertakings, and shall be provided with a copy of that
data on request.

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.

The competent authorities shall cooperate with the Agency
4.
in order to ensure the interoperability of the registers provided for
in paragraphs 1 and 2.

To this end, by 4 December 2008, the Commission shall adopt,
on the basis of a draft prepared by the Agency, the basic param-
eters of the registers to be set up, such as data to be recorded, their
format and the data exchange protocol, access rights, the dura-
tion of data retention and the procedures to be followed in cases
of bankruptcy. These measures, designed to amend non-essential
elements of this Directive by supplementing it, shall be adopted
in accordance with the regulatory procedure with scrutiny
referred to in Article 32(3).

Training tasks relating to general professional knowledge as
5.
provided for in Article 11(4), 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.

6.
Training tasks relating to infrastructure knowledge as pro-
vided for in Article 13(2), including route knowledge and oper-
ating rules and procedures, shall be performed by persons or
bodies accredited or recognised by the Member State where the
infrastructure is located.

5.
The competent authorities, infrastructure managers and rail-
way 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.

7. With regard to licences, the general system for the recogni-
tion of professional qualifications established by Directive
2005/36/EC shall continue to apply to the recognition of the pro-
fessional qualifications of drivers who are nationals of a Member
State and have obtained their training certificate in a third country.

The Agency shall ensure that the system set up in para-

6.
graph 2(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.

8.
A process of continuous training shall be set up in order to
ensure that staff competences are maintained, in accordance with
point 2(e) of Annex III to Directive 2004/49/EC.

Article 24

Cost of training

1. Member States shall ensure that the necessary measures are
taken in order to ensure that investments made by a railway
undertaking or an infrastructure manager for the training of a
driver do not unduly benefit another railway undertaking or infra-
structure manager in the case where that driver voluntarily leaves
the former for the latter railway undertaking or infrastructure
manager.

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Particular attention shall be paid to the implementation of
2.
this Article in the report provided for in Article 33, in particular
as regards point (f) thereof.

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 25

Examinations

The examinations and examiners intended for the purpose

1.
of checking the requisite qualifications shall be determined:

(a)

(b)

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

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 accordance
with Article 15.

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

Article 27

Independent assessment

1.
An independent assessment of the procedures for the acqui-
sition and assessment of professional knowledge and compe-
tences, and of the system for the issuing of licences and certificates,
shall be carried out in each Member State at intervals of not more
than five years. This shall not apply to activities already covered
by the safety management systems put in place by railway under-
takings and infrastructure managers in accordance with Directive
2004/49/EC. The assessment shall be carried out by qualified per-
sons who are not themselves involved in the activities concerned.

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

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,

4.
The examinations referred to in paragraph 1 shall be orga-
nised in such a way that any conflict of interests is avoided, with-
out prejudice to the possibility that the examiner may belong to
the railway undertaking or infrastructure manager issuing the
certificate.

The choice of examiners and examinations may be subject
5.
to Community criteria established on the basis of a draft prepared
by the Agency. These measures, designed to amend non-essential
elements of this Directive by supplementing it, shall be adopted
in accordance with the regulatory procedure with scrutiny
referred to in Article 32(3). On imperative grounds of urgency,
the Commission may have recourse to the urgency procedure
referred to in Article 32(4).

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 perfor-
mance in particularly difficult situations.

CHAPTER VII

ASSESSMENT

Article 26

Quality standards

CHAPTER VIII

OTHER CREW MEMBERS

Article 28

Report on other crew members

under

developed

The Agency shall, in a report to be presented by 4 June
1.
2009, and taking into account the TSI on operation and traffic
management
96/48/EC
and 2001/16/EC, identify the profile and tasks of other crew
members performing safety-critical tasks whose professional
qualifications 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.

Directives

2.
On the basis of this report the Commission shall, by 4 June
2010, present a report and, if appropriate, bring forward a legis-
lative proposal on a certification system for the other crew mem-
bers referred to in paragraph 1.

CHAPTER IX

CONTROLS AND PENALTIES

Article 29

Controls by the competent authority

The competent authorities shall ensure that all activities associ-
ated with training, the assessment of skills and the updating of
licences and certificates are the subject of continuous monitoring

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.

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

3.
The competent authority may carry out 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 sat-
4.
isfies one or more required conditions, it shall take the following
measures:

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

5.
If a competent authority considers that a decision taken by
a competent authority in another Member State pursuant to para-
graph 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 dis-
agreement or dispute, the matter shall be referred to the Commit-
tee referred to in Article 32(1), and the Commission shall take
whatever measures are necessary in accordance with the regula-
tory procedure referred to in Article 32(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.

(a)

(b)

if it concerns a licence issued by the competent authority, the
competent authority shall suspend the licence. The suspen-
sion 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 review provided
for in Article 21. It shall indicate the procedure to be fol-
lowed for recovering the licence;

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
shall
inform the Commission and the other competent
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
inspection be carried out or that the certificate be suspended.
The issuing body shall take appropriate 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.

Article 30

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 provisions
adopted pursuant to this Directive and shall take all measures nec-
essary to ensure that they are implemented. The penalties pro-
vided for shall be effective, proportionate, non-discriminatory and
dissuasive. The Member States shall notify the Commission of
those provisions by the date specified in the first subparagraph of
Article 36(1) at the latest and shall notify it without delay of any
subsequent amendment affecting them.

CHAPTER X

FINAL PROVISIONS

Article 31

Adaptation of the Annexes

1. Measures designed to amend non-essential elements of this
Directive by adapting the Annexes to scientific and technical
progress shall be adopted in accordance with the regulatory pro-
cedure with scrutiny referred to in Article 32(3). On imperative
grounds of urgency, the Commission may have recourse to the
urgency procedure referred to in Article 32(4).

2. Where the adaptations concern health and safety condi-
tions, or professional competences, the Commission shall ensure
that the social partners are consulted prior to their preparation.

Article 32

Committee

At all events, if the competent authority considers that a particu-
lar driver creates a serious threat to the safety of the railways, it
shall immediately take the necessary action, such as asking the
infrastructure manager to stop the train and prohibiting the driver
from operating in its area of jurisdiction for as long as necessary.
It shall inform the Commission and the other competent authori-
ties of any such decision.

The Commission shall be assisted by the Committee set up

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

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

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

3. Where reference is made to this paragraph, Article 5a(1)
to (4), and Article 7 of Decision 1999/468/EC shall apply, having
regard to the provisions of Article 8 thereof.

4. Where reference is made to this paragraph, Article 5a(1), (2),
(4) and (6), and Article 7 of Decision 1999/468/EC shall apply,
having regard to the provisions of Article 8 thereof.

Article 33

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 four years following the adoption
of
in
Article 22(4), a report containing, where appropriate, improve-
ments to be made to the system as regards:

the registers provided for

the basic parameters of

(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 authorities;

(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 Article 4(2)(a);

(f)

the interconnection of registers and mobility in the employ-
ment market.

Furthermore, in this report the Agency may, if appropriate, rec-
ommend measures regarding the theoretical and practical exami-
nation of the professional knowledge of applicants for the
harmonised
relevant
infrastructure.

certificate

rolling

stock

and

for

If the implementation of the smartcard does not entail any modi-
fication to this Directive or the Annexes hereto, the specifications
of the smartcard shall be adopted in accordance with the regula-
tory procedure referred to in Article 32(2).

Article 35

Cooperation

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 appropri-
ate meetings with representatives of the competent authorities.

Article 36

Implementation

1. Member States shall bring into force the laws, regulations
and administrative provisions necessary to comply with this
Directive before 4 December 2009. They shall forthwith inform
the Commission thereof.

When Member States adopt those measures, they shall contain a
reference to this Directive or shall be accompanied by such refer-
ence 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.

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

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

Article 37

Gradual phasing-in and transition periods

Article 34

Use of smartcards

By 4 December 2012, the Agency shall examine the possibility of
using a smartcard combining the licence and certificates provided
for in Article 4, and shall prepare a cost/benefit analysis thereof.

Measures designed to amend non-essential elements of this Direc-
tive and relating to the technical and operating specifications for
such a smartcard shall be adopted on the basis of a draft prepared
by the Agency and in accordance with the regulatory procedure
with scrutiny referred to in Article 32(3).

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 of the adoption of the basic parameters of the reg-
isters provided for in Article 22(4).

2.

(a) Within two years of the adoption of the basic parameters
of the registers provided for in Article 22(4), certificates
or licences shall be issued in accordance with this Direc-
tive to drivers performing cross-border services, cabo-
tage services or freight services in another Member State,
or work in at least two Member States, without preju-
dice to the provisions of point 3.

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From that same date, all train drivers performing the ser-
vices listed above, including those not yet licensed or
certified in accordance with this Directive, shall comply
with the periodic checks provided for in Article 16.

(b) Within two years of the setting-up of the registers pro-
vided 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.

(c) Within seven years of the setting-up of the registers pro-
vided for in point 1, all drivers shall hold licences and
certificates in conformity with this Directive. The issu-
ing bodies shall take into account all professional com-
petencies 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
appropriate, that additional examinations and/or train-
ing are necessary in order to obtain licences and/or cer-
tificates under this Directive.

3. Drivers authorised to drive in accordance with the provisions
which applied prior to the application of point 2(a) or (b)
may continue to pursue their professional activities on the
basis of their entitlements, and without applying the provi-
sions 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 education
and training programme or an approved training course
prior to the application of point 2(a) or (b), Member States
may certify these apprentices in accordance with existing
national provisions.

For drivers and apprentices referred to in this point, the com-
petent authority or authorities involved may, in exceptional
cases, grant exemptions from the medical requirements laid
down in Annex II. The validity of any licence issued with
such exemption shall be limited to the territory of the Mem-
ber States concerned.

4. Competent authorities, railway undertakings and infrastruc-
ture managers shall ensure the gradual application of peri-
odic checks corresponding to those provided for by
Article 16 to drivers who do not hold licences and certificates
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
of this Directive to train drivers operating exclusively on the
territory of that Member State. The cost/benefit analysis shall
cover a period of 10 years. This cost/benefit analysis shall be
submitted to the Commission within two years of the
setting-up of the registers provided for in point 1.

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 shall, in accordance with the
regulatory procedure referred to in Article 32(2), adopt a
decision 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 10
years on the territory of the Member State concerned.

No later than 24 months prior to the expiry of this tempo-
rary exemption period, the Commission, taking into account
relevant developments in the railway sector in the Member
State concerned, may, in accordance with the regulatory pro-
cedure referred to in Article 32(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 Commission shall take
a decision in accordance with the procedure described in the
second subparagraph of this point.

Article 38

Entry into force

This Directive shall enter in force on the day following its publi-
cation in the Official Journal of the European Union.

Article 39

This Directive is addressed to the Member States.

Done at Strasbourg, 23 October 2007.

For the European Parliament
The President
H.-G. PÖTTERING

For the Council
The President
M. LOBO ANTUNES

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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 international
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 back-
ground of the licence;

(f)

the reference colours:

— blue: Pantone Reflex blue,

— yellow: Pantone yellow;

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(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, in accordance with the regulatory procedure referred to in
Article 32(2) and 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);

(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

differences,

— 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.

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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 tem-
porary exclusion of drivers. Legal provisions protecting pregnant drivers must be applied.

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 mellitus, 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 relevant personal-
ity 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.

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In addition to this frequency, the medical doctor accredited or recognised under Article 20 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 or any period of absence following an
accident involving persons. The medical doctor accredited or recognised under Article 20 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 medical doctor accredited or recognised under Article 20 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 peri-
odic 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 abil-
ity 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 accompanies
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.

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ANNEX IV

GENERAL PROFESSIONAL KNOWLEDGE AND REQUIREMENTS REGARDING THE LICENCE

The general training has the following objectives:

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

losophy 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 ‘Opera-

tions’ 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 CERTIFICATE

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 trac-

tion 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 trans-

portation 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,

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— 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.

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 rela-

tive 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 docu-

ments and wagon lists,

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

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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 unexpectedly,
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 CERTIFICATE

Matters relating to infrastructure

1. 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.

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 installa-
tions 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.

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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, run-
ning through construction sites, etc.,

— respect scheduled or supplementary stops, and if necessary perform supplementary operations for passengers dur-

ing 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.

6. ANOMALIES

Drivers must be able to:

— be attentive, insofar as train operation permits, to unusual occurrences concerning the infrastructure and the envi-

ronment: 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.

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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 com-
municate 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

5

4

3

2

1

Description

— 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.