Commission Decision of 29 October 2009 on the adoption of basic parameters for registers of train driving licences and complementary certificates provided for under Directive 2007/59/EC of the European Parliament and of the Council (notified under document C(2009) 8278) (Text with EEA relevance)
Date: 2009-10-29
Institutions: European Commission
Subjects: data processing, directory, drivers, exchange of information, harmonisation of standards, professional qualifications, rail transport, technical specification, transport company, transport licence




L_2010008EN.01001701.xml










13.1.2010   


EN


Official Journal of the European Union


L 8/17








            COMMISSION DECISION
         
of 29 October 2009
         
on the adoption of basic parameters for registers of train driving licences and complementary certificates provided for under Directive 2007/59/EC of the European Parliament and of the Council
(notified under document C(2009) 8278)
(Text with EEA relevance)
(2010/17/EC)


THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,


Having regard to Directive 2007/59/EC of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Community (1), and in particular Article 22 thereof,


Having regard to the recommendation of the European Railway Agency on basic parameters for registers of train driving licences and complementary certificates (ERA/REC/SAF/05-2008) of 19 December 2008,

Whereas:







(1)


In accordance with Article 22(1) of Directive 2007/59/EC, competent authorities should keep a national register for train driving licences or ensure that such a register is kept.












(2)


In accordance with Article 22(2) of Directive 2007/59/EC, railway undertakings and infrastructure managers should keep a company register for complementary certificates or ensure that such a register is kept.












(3)


Article 22(4) of Directive 2007/59/EC requires the European Railway Agency to draft the basic parameters for registers of train driving licences to be set up by competent authorities and registers of complementary certificates to be set up by railway undertakings and infrastructure managers employing or contracting drivers. The national register for train driving licences of a Member State should contain all train driving licences issued in that Member State.
A standard application form should be used for applying for train driving licences, for the purposes of licence registration and recording of updates, amendments, replacements, renewals, suspensions and withdrawal.












(4)


The registers for train driving licences and complementary certificates should be accessible for consultation by the authorised representatives of competent authorities and stakeholders. The different registers should be consistent as regards the data they contain and data formatting. They should therefore be set up using common operational and technical specifications.












(5)


All information contained in licences, harmonised complementary certificates and registers of licences 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 of the European Parliament and of the Council of 29 April 2004 on safety on the Community’s railways and amending Council Directive 95/18/EC on the licensing of railway undertakings and Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification (Railway Safety Directive) (2) and to speed up the issuing of the safety certificates provided for in those Articles.












(6)


In accordance with Article 19(1)(f) of Directive 2007/59/EC, the register of train driving licences should be kept and updated by the competent authorities or by delegated bodies. Member States should inform the Commission and the other Member States of the body which they have designated for this purpose, partly to enable these bodies to exchange information.












(7)


Ideally, each Member State should set up a computer-based driving licence register to achieve full interoperability of the registers and allow competent authorities and others who have access rights to obtain information. However, for economic and technical reasons, this kind of interface cannot be adopted without further investigation. Firstly, it is necessary to agree on methods to ensure that access is granted subject to certain conditions, as required by Directive 2007/59/EC. Secondly, a survey of the number of transactions is necessary to perform a cost benefit analysis and propose a feasible solution that does not impose administrative costs that might be disproportionate to real needs. The European Railway Agency therefore proposed to implement an interim solution, with simplified exchange of information, and proceed with the development of an electronic interface at a later stage.












(8)


In accordance with Article 36(3) of Directive 2007/59/EC, that Directive does not apply to Cyprus and Malta. Therefore this Decision should not be applicable to Cyprus and Malta for as long as these Member States do not have a railway system.












(9)


The measures provided for in this Decision are in accordance with the opinion of the Railway Interoperability and Safety Committee established under Article 21 of Directive 96/48/EC,





HAS ADOPTED THIS DECISION:



Article 1
The basic parameters for the National Register of Train Driving Licences (hereinafter ‘NLR’) set out in Annex I are adopted.


Article 2
The basic parameters for the Register of Complementary Certificates (hereinafter ‘CCR’) set out in Annex II are adopted.


Article 3

1.   Within 24 months from the taking effect of this Decision, the European Railway Agency (hereinafter ‘the Agency’) shall carry out a feasibility study for a computer-based application fulfilling the basic parameters for the NLR and CCR and facilitating the exchange of information among competent authorities, railway undertakings and infrastructure managers.
The feasibility study shall in particular consider the functional and technical architecture, operating modes and rules for data input and consultation.
The feasibility study shall be discussed and approved within the cooperation between the representatives of the competent authorities specified in Article 35 of the Directive 2007/59/CE.


2.   Where appropriate, on the basis of the results of the study referred to in paragraph 1, the Agency shall set up a pilot application of a network with at least three NLRs and nine CCRs.
The Agency shall monitor the pilot application for at least one year, and issue a report to the Commission with, where appropriate, a recommendation to amend this Decision.



Article 4
Within one year of this Decision taking effect, Member States shall inform the Commission and the other Member States:






(a)


of the body designated to deliver train driving licences in accordance with Article 19(1)(a) of Directive 2007/59/EC,










(b)


of the body designated to keep and update the NLR in accordance with Article 19(1)(f) of Directive 2007/59/EC.






Article 5
This Decision is addressed to the Member States.
It shall not apply to Cyprus and Malta as long as no railway system is established within their territory.




Done at Brussels, 29 October 2009.


For the Commission

Antonio TAJANI
            

Vice-President






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

(2)  
            OJ L 220, 21.6.2004, p. 16.




ANNEX I

BASIC PARAMETERS FOR NATIONAL REGISTERS OF TRAIN DRIVING LICENCES (NLRS)

1.   Basic parameters

The basic parameters for National Registers of train driving licences set in accordance with Article 22(4) of Directive 2007/59/EC, are:






—


Data to be collected (Chapter 2),










—


Data format (Chapter 3),










—


Access rights (Chapter 4),










—


Data exchange (Chapter 5),










—


Duration of data retention (Chapter 6),




2.   Data to be collected

NLR shall comprise four sections.
Section 1 shall contain information about the current status of the licence.
Section 2 shall contain information about the licence issued, in line with the list of requirements contained in Annex I, Section 2, of Directive 2007/59/EC.
Section 3 shall contain historical information about the licence.
Section 4 shall contain information about basic requirements and initial checks, to allow the licence to be issued and subsequent checks, to allow the licence to remain valid.
The data to be collected are set out in the table in Chapter 3.
3.   Data format

The following is a list of requirements for the data format of the NLR.
The list is set out as follows:









No




Datum to be displayed






Content




Format




Status of the requirement









Section 1:   Current state of the licence









1



Licence number





1.1


Number of the licence


EIN (12 digits)


Compulsory




2



Current state of the licence





2.1


Evidence of the current state of the licence.






—


Valid,










—


Suspended (decision pending),










—


Withdrawn,






Text


Compulsory




2.2


Reason for suspension or withdrawal


Text


Compulsory








Section 2:   Information on the current licence issued, in accordance with Annex I, Section 2, of Directive 2007/59/EC










3



Surname(s) of the holder





3.1


Surname(s) displayed on passport or national identity card or other recognised document proving identity More surnames are allowed, depending on national custom


Text


Compulsory




4



Name(s) of the holder





4.1


Name(s) displayed in passport or national identity card or other recognised document proving identity. More names are allowed, depending on national custom


Text


Compulsory




5



Date of birth of the holder





5.1


Date of birth of the holder


YYYY-MM-DD


Compulsory




6



Place of birth of the holder





6.1


Place of birth of the holder


Text


Compulsory




6.2


Nationality


Text


Optional




7



Date of issue of the licence





7.1


Display of the current date of issue of the licence


YYYY-MM-DD


Compulsory




8



Date of expiry of the licence





8.1


Date of the expected formal expiry of the valid licence


YYYY-MM-DD


Compulsory




9



Name of issuing authority





9.1


Name of the authority issuing the licence (competent authority, delegated entity, railway undertaking, infrastructure manager)


Text


Compulsory




10



Reference number assigned to the employee by the employer





10.1


Company reference for the train driver


Text


Optional




11



Photograph of the holder





11.1


Photograph


Original or Electronic scanning


Compulsory




12



Signature of the holder





12.1


Signature


Original/Photocopy/Electronic scanning


Compulsory




13



Permanent place of residence or postal address of the holder





13.1


Address of the holder


Street and number


Text


Optional




13.2


Town


Text


Optional




13.3


Country


Text


Optional




13.4


Postcode


Alpha-numerical code


Optional




13.5


Telephone number


Text


Optional




13.6


e-mail address


Text


Optional




14



Additional information





14.1


Information imposed by a competent authority in accordance with Annex II of Directive 2007/59/EC


Coded information


Compulsory










Field 9.a.1 —


Native language(s) of the driver






Text


 










Field 9.a.2 —


Space reserved for entries by the Member State which issues the licence, for information that may be necessary under national legislation






Text


 




15



Medical restriction





15.1


Information imposed by a competent authority in accordance with Annex II of Directive 2007/59/EC


Coded information


Compulsory




Mandatory use of glasses/lenses


(code b.1)


 




Mandatory use of hearing aid(s)


(code b.2)


 








Section 3:   Historical information on the status of the licence and the results of periodic checks









16



Date of first issues





16.1


Date of first issue


YYYY-MM-DD


Compulsory




17



Date of expiry





17.1


Date of expiry (and of expected formal renewal)


YYYY-MM-DD


Compulsory




18



Update(s) (Several records are possible)




18.1


Date of update


YYYY-MM-DD


Compulsory




18.2


Reason for update


Text


Compulsory




19



Amendment(s) (Several records are possible)




19.1


Date of amendment


YYYY-MM-DD


Compulsory




19.2


Reason of amendment


Text


Compulsory




20



Suspension(s) (Several records are possible)




20.1


Length of period of suspension


From (date) to (date)


Compulsory




20.2


Reason for suspension


Text


Compulsory




21



Withdrawal(s) (Several records are possible)




21.1


Date of withdrawal


YYYY-MM-DD


Compulsory




21.2


Reason for withdrawal


Text


Compulsory




22



Licence reported lost





22.1


Date of communication


YYYY-MM-DD


Compulsory




22.2


Date of any duplicate issued


YYYY-MM-DD


Compulsory




23



Licence reported stolen





23.1


Date of communication


YYYY-MM-DD


Compulsory




23.2


Date of any duplicate issued


YYYY-MM-DD


Compulsory




24



Licence reported destroyed





24.1


Date of communication


YYYY-MM-DD


Compulsory




24.2


Date of any duplicate issued


YYYY-MM-DD


Compulsory








Section 4:   Information on the basic requirements for issuing a licence and results of periodic checks










25



Education





25.1


Basic requirement


Highest level of certification possessed


Text


Compulsory




26



Physical fitness





26.1


Basic requirement


Statement on fulfilment of criteria in Directive 2007/59/EC, Annex II (Sections 1.1, 1.2, 1.3 and 2.1)


Text


Compulsory




26.2


Date of check


 


YYYY-MM-DD


Compulsory




26.3


Subsequent periodic check


Confirmed/not confirmed


Text


Compulsory




26.4


(several records possible)


Date of last check


YYYY-MM-DD


Compulsory




26.5


Next check


Date of next formally expected check


YYYY-MM-DD


Compulsory




26.6


Notes


Notes to be specified:






—


Normal schedule,










—


Anticipated schedule (according to doctor’s certificate),










—


Change in information (code 9.a.2) if necessary,










—


Change in restriction code,










—


Other + field to specify,






Text


Compulsory




27



Occupational psychological fitness





27.1


Basic requirement


Statement on fulfilment of criteria in Annex II of Directive 2007/59/EC (Section 2.2)


Text


Compulsory




27.2


Date of check


 


YYYY-MM-DD


Compulsory




27.3


Following check(s)


Only if necessary (several records possible)


Statement


Compulsory




27.4


 


Date of any subsequent check


YYYY-MM-DD


Compulsory




28



General professional knowledge





28.1


Basic requirement


Statement on fulfilment of criteria in Annex IV of Directive 2007/59/EC


Text


Compulsory




28.2


Date of check


 


YYYY-MM-DD


Compulsory




28.3


Subsequent check


(only if required at national level)


YYYY-MM-DD


Compulsory




4.   Access rights

Access to the information contained in the NLR shall be granted to the following interested parties for the following purposes:






—


to the competent authorities of the other Member States, upon reasoned request, for:






—


controlling trains operating in their area of jurisdiction,










—


making enquiries regarding compliance with Directive 2007/59/EC by all those active in their area of jurisdiction,














—


to the Agency, upon reasoned request, for evaluating the development of train driver certification in accordance with Article 33 of Directive 2007/59/EC, in particular regarding the interconnection of registers,










—


to any employer of drivers, for consulting the status of the licences in accordance with article 22(1)(b) of Directive 2007/59/EC,










—


to railway undertakings and infrastructure managers, employing or contracting train drivers, for consulting the status of licences, in accordance with Article 22(1)(b) of Directive 2007/59/EC,










—


to train drivers, upon request, for consulting the data concerning them,










—


to investigation bodies set up in accordance with Article 21 of Directive 2004/49/EC, for investigating accidents, in particular as stated in Article 20(2)(e) and (g) of that Directive,




5.   Data exchange

Access to relevant data shall be granted upon formal request. The competent authority shall provide the data, without delay, in a manner which ensures secure transmission of information and protection of personal data.
Competent authorities may offer login facilities on their websites to all who have access rights, provided they ensure that the grounds for requests are checked.
6.   Duration of data retention

All data in the NLR shall be kept for at least 10 years from the date of end of validity of the train driving licence. If at any time during the 10-year period an investigation involving the driver is started, data relating to the driver must be kept beyond the 10-year period if so required.
Any changes in the NLR shall be recorded.





ANNEX II

BASIC PARAMETERS FOR REGISTERS OF TRAIN DRIVERS' COMPLEMENTARY CERTIFICATES (CCRS)

1.   Basic parameters

The basic parameters for registers of complementary certificates (CCR), set in accordance with Article 22(4) of Directive 2007/59/EC, are:






—


Data to be collected (Chapter 2),










—


Data format (Chapter 3),










—


Access rights (Chapter 4),










—


Data exchange (Chapter 5),










—


Duration of data retention (Chapter 6),










—


Procedures in case of bankruptcy (Chapter 7),




2.   Data to be collected

CCRs shall comprise four sections.
Section 1 shall contain information about the current state of the licence owned by the train driver.
Section 2 shall contain information about the complementary certificate issued, as listed in Annex I, Section 3, of Directive 2007/59/EC.
Section 3 shall contain historical information about the complementary certificate.
Section 4 shall contain information about basic requirements and initial checks to allow the complementary certificate to be issued and about subsequent checks to be recorded to allow the complementary certificate to remain valid.
The data to be collected are set out in the table in Chapter 3.
Information on current knowledge of rolling stock, knowledge of infrastructure and linguistic knowledge assessed in accordance with the relevant part of Directive 2007/59/EC shall be given in Section 2. That section shall include the date of the next expected checks. By the date of subsequent checks the new ‘current state’ will start, and previous information will be moved into Section 4, containing historical information.
3.   Data format

The following list shows the data format of the CCR.
The list is set out as follows:









No




Datum to be displayed






Content




Format




Status of the requirement









Section 1:   Reference to the licence









1



Licence number





1.1


Number of the licence, giving access to data in the national register


EIN (12 digits)


Compulsory




2



Current state of the licence





2.1


Evidence of the current state of the licence






—


Valid










—


Suspended










—


Withdrawn






Text


Compulsory








Section 2:   Information about the current complementary certificate issued, as listed in Annex I, Section 3, of Directive 2007/59/EC










3



Surname(s) of the holder (the same of the licence)





3.1


Surname(s) displayed on passport or national identity card or other recognised document proving identity. More surnames are allowed, depending on national custom


Text


Compulsory




4



Name(s) of the holder (the same of the licence)





4.1


Name(s) displayed on passport or national identity card or other recognised document proving identity. More names are allowed, depending on national custom


Text


Compulsory




5



Date of birth of the holder





5.1


Date of birth of the holder


YYYY-MM-DD


Compulsory




6



Place of birth of the holder





6.1


Place of birth of the holder


Text


Compulsory




7



Date of issue of the certificate





7.1


The current date of issue of the certificate


YYYY-MM-DD


Compulsory




8



Date of expiry of the certificate





8.1


Date of the expected formal expiry of the certificate, to be set by the company and included in the procedure required in Article 15 of Directive 2007/59/EC.


YYYY-MM-DD


Compulsory




9



Name of issuing entity





9.1


Name of the entity issuing the certificate (railway undertaking, infrastructure manager, other)


Text


Compulsory




10



Reference number assigned to the employee by the employer





10.1


Company reference for the train driver


Text


Optional




11



Photograph of the holder





11.1


Photograph


Original or Electronic scanning


Compulsory




12



Signature of the holder





12.1


Signature


Original/Photocopy/Electronic scanning


Compulsory




13



Permanent place of residence or postal address of the holder





13.1


Address of the holder


Street and number


Text


Optional




13.2


Town


Text


Optional




13.3


Country


Text


Optional




13.4


Postcode


Alpha-numerical code


Optional




13.5


Telephone number


 


 




13.6


e-mail address


 


 




14



Address of the railway undertaking or infrastructure manager for which the driver is authorised to drive





14.1


Address of the RU/IM


Street and number


Text


Compulsory




14.2


Town


Town


Compulsory




14.3


Country


Text


Compulsory




14.4


Postcode


Alpha-numerical code


Compulsory




14.5


Contact person


Text


Optional




14.6


Telephone number


Text


Compulsory




14.7


Fax number


Text


Compulsory




14.8


e-mail address


Text


Compulsory




15



Category in which the driver is authorised to drive





15.1


Relevant code(s)


Text


Compulsory




16



Rolling stock which the driver is authorised to drive





16.1


(list, record to be repeated)


Text


Compulsory




16.2


For each item the date of next expected check shall be added


YYYY-MM-DD


Compulsory




17



Infrastructure on which the driver is authorised to drive





17.1


(list, record to be repeated)


Text


Compulsory




17.2


For each item the date of next expected check shall be added


YYYY-MM-DD


Compulsory




18



Language skills





18.1


(list, record to be repeated)


Text


Compulsory




18.2


For each item the date of next expected check shall be added


YYYY-MM-DD


Compulsory




19



Additional information





19.1


(list, record to be repeated)


Text


Compulsory




20



Additional restrictions





20.1


(list, record to be repeated)


Text


Compulsory








Section 3:   Historical records on the status of the complementary certificate









21



Date of first issue





21.1


Date of first issue of the certificate


YYYY-MM-DD


Optional




22



Update(s) (Several records are possible)




22.1


Date of update


YYYY-MM-DD


Compulsory




22.2


Details of and reason for update (correction of one or more data displayed on the complementary certificate, e.g. personal address of the driver)


Text


Compulsory




23



Amendment(s) (Several records are possible)




23.1


Date of amendment


YYYY-MM-DD


Compulsory




 


Reason for amendments, referring to specific parts of the certificate:






—


amendments in field 3 ‘Categories of driving’










—


amendments in field 4 ‘Additional Information’










—


amendments in field 5: new linguistics knowledge acquired or knowledge periodically checked










—


amendments in field 6 ‘Restrictions’










—


amendments in column 7: new rolling stock knowledge acquired or knowledge periodically checked










—


amendments in column 8: new infrastructure knowledge acquired or knowledge periodically checked






Text


Compulsory




24



Suspension(s) (Several records are possible)




24.1


Length of period of suspension


From (date) to (date)


Compulsory




24.2


Reason for suspension


Text


Compulsory




25



Withdrawal(s) (Several records are possible)




25.1


Date of withdrawal


YYYY-MM-DD


Compulsory




25.2


Reason for withdrawal


Text


Compulsory




26



Certificate reported lost





26.1


Date of communication


YYYY-MM-DD


Compulsory




26.2


If yes, date of issued duplicate


YYYY-MM-DD


Compulsory




27



Certificate reported stolen





27.1


Date of communication


YYYY-MM-DD


Compulsory




27.2


Date of any duplicate issued


YYYY-MM-DD


Compulsory




28



Certificate reported destroyed





28.1


Date of communication


YYYY-MM-DD


Compulsory




28.2


Date of any duplicate issued


YYYY-MM-DD


Compulsory








Section 4:   Historical records in connection with the basic requirements for issuing a complementary certificate and the results of periodic checks










29



Linguistic competence





29.1


Basic requirement


Working language(s) for which a statement that the criteria set out in Annex VI(8) of Directive 2007/59/EC had been fulfilled was issued


Text


Compulsory




29.2


Periodic check


Date of certified knowledge (exam passed) for each language.
Several records are possible.


YYYY-MM-DD


Compulsory




30



Rolling stock knowledge





30.1


Basic requirement


Rolling stock for which a statement that the criteria set out in Annex V of Directive 2007/59/EC had been fulfilled was issued


Text


Compulsory




30.2


Periodic check


Date of periodic check (certified knowledge)
Several records are possible.


YYYY-MM-DD


Compulsory




31



Infrastructure knowledge





31.1


Basic requirement


Infrastructure for which a statement that the criteria set out in Annex VI of Directive 2007/59/EC had been fulfilled was issued


Text


Compulsory




31.2


Periodic check


Date of periodic check (certified knowledge).
Several records are possible.


YYYY-MM-DD


Compulsory




4.   Access rights

Access to the information contained in the CCR shall be granted to the following interested parties for the following purposes:






—


to the competent authority of the Member State in accordance with Article 22(2)(b) of Directive 2007/59/EC,










—


to competent authorities of the Member States in which the railway undertaking or infrastructure manager operates, and where the driver is authorised to drive on at least one line of the network:






—


for their task of monitoring the development of certification, under Article 19(1)(g) and Article 26 of Directive 2007/59/EC,










—


for their inspection tasks under Article 19(1)(h) and (2) and Article 29(1) of Directive 2007/59/EC (this task may be carried out by a delegated entity),














—


to train drivers, for the data concerning them, in accordance with Article 22(3) of Directive 2007/59/EC,










—


to investigation bodies set up in accordoance with Article 21 of Directive 2004/49/EC, for investigating accidents, in particular as stated in Article 20(e) and (g) of that Directive,




Companies shall be free to grant access to other users, subject to personal data protection.
5.   Data exchange

In accordance with Directive 2007/59/EC, access to relevant data shall be granted:






(a)


to the competent authorities where the railway undertaking or infrastructure manager is domiciled, in accordance with Article 22(2)(b) of Directive 2007/59/EC,










(b)


to competent authorities of other Member States, upon request, in accordance with Article 22(2)(c) of Directive 2007/59/EC,










(c)


to drivers, upon request, in accordance with Article 22(3) of Directive 2007/59/EC.




The railway undertaking, infrastructure manager or delegated entity shall provide the data, without delay, in a manner which ensures secure transmission of information and protection of personal data.
Railway undertakings and infrastructre manangers may offer login facilities on their websites to all who have access rights, provided they ensure that grounds for requests are checked.
6.   Duration of data retention

All data in the CCR shall be kept for at least 10 years from the last expiry date referred to on the certificate.
If at any time during the 10-year period an investigation involving the driver is started, data relating to the driver must be kept beyond the 10-year period if so required.
Any changes in the CCR shall be recorded.
7.   Procedure in case of bankruptcy

If a railway undertaking or infrastructure manager goes bankrupt, the new company that takes over the operation of the service shall be responsible for the data contained in the register of complementary certificates.
The competent authority in the Member State where the railway undertaking or infrastructure manager is established shall be the repository of data contained in the register of complementary certificates if the activity is not taken over by another company.