Commission Regulation (EU) No 36/2010Show full title

ANNEX IV HARMONISED APPLICATION FORM FOR TRAIN DRIVING LICENCES

1. GENERAL REMARKS

Competent authorities may use the following harmonised format for collecting information with a view to issuing a new, renewed, amended or updated train driving licence or a duplicate thereof. In addition, they may provide the user of the form with the necessary explanations and instructions given below.

Content of the application form

The harmonised application form shall consist of the following parts:

(a)

The licence application form to be filled in when an applicant, or an entity on his behalf, requires a new, an updated, an amended, a renewed or duplicate train driving licence. The harmonised application form is set out in section 3.

(b)

A personal data protection statement. The need to protect personal data shall be reflected in the procedure for obtaining a licence. An example of a data protection statement is set out in section 4. Member States may adapt it to their own national requirements pursuant to Directive 95/46/EC(1).

(c)

The list of annexed documents, to be used as a check list for the supply of certificates or any other document providing information about the initial requirements for applying for a licence or the requirements necessary for renewal. This is set out in section 5.

(d)

Guidance on the application form for applicants and competent authorities. This is set in Section 5.

2. HARMONISED APPLICATION FORM

3. EXAMPLES OF A DATA PROTECTION STATEMENT

3.1. Example to be adjusted according to applicable national legislation pursuant Directive 95/46/EC

Any personal data, processed for the purpose of delivering train driving licences and to meet he requirements of Directive 2007/59/EC on the certification of train drivers operating locomotives and train on the railway system of the Community, shall be processed pursuant to [National legislation implementing Directive 95/46/EC] on the protection of individuals with regard to the processing of personal data.

It shall be processed solely for the abovementioned purposes and to manage the register by the entity acting as keeper of the register. The data subject shall have the right of access to his personal data and the right to have any such data that is inaccurate or incomplete rectified.

Should the data subject have any queries concerning the processing of his personal data, he shall address them to the entity acting as data controller:

…

(the name of personal data controller(s) in the competent authority/delegated entity should be listed here)

Depending on the access of the data subject to the relevant purpose, the data subject shall have right of recourse at any time to the Data Protection Supervisor:

…

(the name of Data Protection Supervisor in the competent authority/delegated entity should be displayed here)

***

3.2. Authorisation to process personal data (example)

The data subject has been informed of the purpose and procedure of personal data processing and authorises the processing of personal data related to the issue of train driving Licences and the recording of data in the National Register of train driving licences in accordance with Directive 2007/59/EC.

Date	…
Applicant’s Signature	…

***

4. LIST OF DOCUMENTS TO BE APPENDED TO THE APPLICATION FORM FOR A TRAIN DRIVING LICENCE

DOCUMENTS TO BE SUBMITTED WHEN APPLYING FOR

Arrival date

 1

NEW LICENCE

1.1	Signed application form
1.2	Authorisation to process personal data (Directive 95/46/EC)
1.3	Evidence of highest level of education
1.4	Certificate of physical fitness
1.5	Certificate of occupational psychological fitness
1.6	Certificate of general professional competence
1.7	Copy of passport/national identity card/other recognised document proving identity

 2

UPDATE

2.1	Current licence
2.2	Justification for change in order to update data
2.3	…

 3

AMENDMENT

3.1	Current licence
3.2	Certificate of physical fitness
3.3	Justification for change in order to correct data

 4

DUPLICATE

4.1	Declaration of the reason why a duplicate is required (destroyed/stolen/reported lost/data altered)
4.2	Licence, only in case the duplicate is requested because the licence has been altered/damaged

 5

RENEWAL

5.1	Certificate of physical fitness
5.2	Copy of the last licence
5.3	Evidence of maintained competence (if applicable)

Internal reference number	Date application completed	SPACE RESERVED FOR STAMP OF THE ADDRESSED OFFICE/AUTHORITY

5. GUIDANCE ON THE APPLICATION FORM

General remarks

(a)

This application form is to be incorporated in to the Member States procedure for requesting a licence. The harmonised model is based on the requirements laid down in Directive 2007/59/EC (‘the Directive’).

This application shall be accompanied by specific documents demonstrating that the applicant meets the requirements listed in Article 11 of Directive 2007/59/EC.

(b)

This application form is issued in all languages of the European Community, and the numbering system shall be preserved, irrespective of the language.

(c)

Data shall be provided in the format specified below in order to be consistent with the data format of the register. Wherever possible, dates shall be displayed in the format YYYY-MM-DD, according to the ISO standard 8601:2004 ‘Data elements and interchange formats — Information interchange — Representation of dates and times’.

(d)

Where the collection of data is optional under the Directive, and a term is not collected, the relevant box shall be filled with the words ‘not applicable’.

(e)

Additional information may be required under national legislation in order to check personal identification. Any additional data, required by competent authorities shall be added at the end of the harmonised requirements. The fields numbered 2.24, 2.25, and 2.26 provide space to include specific requirements; however, the number shall be limited to what is strictly necessary, in order not to defeat the object of having a harmonised document.

1. The first section deals with the issuing organisation

1.1. To be customised by the issuing organisation (National Safety Authorities, Railway Undertakings, or other contacting entities).

1.2. Fill in information on the issuing organisation.

2. The second section deals with the state of the licence

2.1. Check one of the following four boxes to state the reason for the application.

2.2. Check this box if the application is submitted for a new licence, in which case the documents listed in Section 4.1 should be provided.

2.3. Check this box if the application is for an updated or amended licence, and fill in the text field giving a reason for the update or amendment.

Update: the licence may need to be updated, for example, if there is a change in an optional item, such as the train drivers personal address or employee reference number.

Amendment: the licence may need to be amended if an item of additional information or a restriction needs to be changed after a medical check-up, or if a field contains a mistake and needs to be corrected.

2.4. Checked this box if the application is for a renewal of the licence. The licence must be renewed every 10 years, when a new photo must be provided.

2.5. Check this box if the application is for a duplicate of the licence, and fill in the text field giving a reason for the request (e.g.: loss, theft or accidental destruction). The competent authority shall check that the licence for which a duplicate is required is still valid and has not been suspended or withdrawn.

2.6. A European Identification Number is assigned when the licence is issued for the first time. If the application is for a first licence, leave this box blank.

Fill in the EIN number if you are applying for the licence to be amended, updated, renewed or replaced (issue of a duplicate).

2.7. Fill in this field if you are applying for the licence to be amended, updated, renewed or replaced (issue of a duplicate).

2.8. You should specify whether the application is being submitted by the applicant or by another entity on his or her behalf. This information can be used to track the application, and if necessary to contact a driver whose postal address no longer valid.

2.9. Check this box if the applicant is submitting the application.

2.10. Check this box if some other entity is submitting the application.

2.11. Fill in this section (2.11 to 2.13) if the application is being submitted by an entity on behalf of the applicant and give the name of the entity submitting the application.

2.12. Fill in the status of the entity submitting the application (employer/contracting entity/other). This enables the recording of checks on continuous training, e.g. conducted as part of the Safety Management System of railway undertakings or infrastructure managers.

2.13. Fill in the postal address of the entity submitting the application here, in the following order:

Number (if applicable)/Street

Post code/Town

Country

2.14. Fill in the applicant’s personal details in the next section (from 2.15 to 2.23) Fields 2.21 and 2.22 are optional.

2.15. Fill in the surname (family name) or surnames shall be shown here, exactly as shown on the applicant’s passport or national identity card or other recognised documents proving identity.

2.16. Fill in the applicant’s first name or names, exactly as shown on the applicant’s passport or national identity card or other recognised documents proving identity.

2.17. Check the relevant box giving the applicant’s sex.

2.18. Fill in the applicant’s date of birth here.

2.19. Fill in the applicant’s place of birth (town or village), as follows:

distinguishing sign (two characters) of the country (see Annex I section 3) — post code — place.

Fill in:

• the applicant’s nationality or country of birth, depending on the national legal requirements for this information,

• the applicant’s native language.

2.20. Fill in the reference number assigned to the employee by the employer shall be displayed (this information is optional, under Directive 2007/59/EC).

2.21. State the postal address to which the licence should be sent (the address declared by the applicant or by the entity applying on his or her behalf) shown in the following order, if different to that in field 2.13 or field 2.22):

Number (if applicable)/Street

Post code/Town

Country

This information is important since it allows the competent authority to ask the driver or the entity submitting the application on his behalf for clarification of the documents or information provided.

2.22. Permanent address of the applicant which may be displayed on the licence (this information is optional under Directive 2007/59/EC), in the following order:

Number (if applicable)/Street

Post code/Town

Country

Additional fields may be added for further information, e.g. as telephone number or e-mail address.

2.23. Add a photograph of the applicant, preferably a digital photo (preferred format: jpeg;.bmp;.tiff) which allows good definition for the small size. For renewal applications, the photograph shall be updated.

While countries requirements on photo sizes for official documents may differ, there are specification for the quality of portraits, referred to in EU policy, in Appendix 11 to Section IV of the ICAO document 9303 ‘Machine Readable Travel Documents’ (ed.2006). It contains detailed guidelines, that can be summarised as follows:

• photo shall include a full face, front view and open eyes,

• photo shall present full head from top of hair to shoulders,

• photo shall be taken against a plain white or off-white background,

• avoid shadows on the face or background,

• face in photo shall have a natural expression (closed mouth),

• face in photo shall not include sunglasses with coloured lenses or glasses with a thick frame, no light shall be reflected on the lenses,

• the subject shall not wear a hat, except those who are accepted by the State authorities,

• the contrast and lighting in the photo shall be normal.

2.24. 2.25. 2.26. (reserved for additional data to be collected on the basis of national legislation)

These spaces are reserved for entries by the Member State which issues the licence, to enter any necessary information required under national legislation (e.g.: Personal identification numbers under national legislation can be included here: they shall be valid only for the country in which the licence is issued).

2.27. Applicants shall provide a signed declaration, either on paper or in electronic version, that the information given is true. by the candidate/train driver. The declaration shall be, subject to the law on perjury, in the state in which the declaration is made. It may therefore be adapted to national legislation in order to fulfil the legal requirements with a view to the consequences of misrepresentation, falsification of documents, fraud, etc.

2.28. Fill in the date the application is signed.

2.29. Add the applicant’s signature here, in original, in copy or in accordance with Directive 1999/93/EC(2).

2.30. The Competent Authority may add an internal file reference number here (a incoming mail counter, for instance).

2.31. The date of receipt of the application form shall be added here, to check that the licence is issued within the deadline laid down in Article 14(4) of Directive 2007/59/EC.

2.32. This space is reserved for the receiving authority (for a stamp or any indication needed for filing, for instance).

3. Protection of personal data

3.1. Competent authorities are required to ensure that registers provided for in Article 22 of Directive 2007/59/EC comply with Directive 95/46/EC on protection of personal data(3). This is strictly limited to the data provided on the application form, in order for display on the licence.

3.2. The data protection set out in section 3.1 of this Annex, and the authorisation to be signed by the applicant in section 3.2, are only examples of possible arrangements. They are, therefore, to be adapted to national legislation implementing Directive 95/46/EC on the protection of personal data.

A technical means of obtaining authorisation to process personal data may replace the applicant’s signature.

4. This section is related to the supply of documents providing evidence in support of information, related to the possible status of licence

4.1. To obtain a new licence check box 1 in section 4 (list of annexed documents), and provide the documents listed in 1.1 to 1.6 [se. Article 14(4) of the Directive].

[1.2] Provide authorisation to process personal in accordance with the national legislation implementing Directive 95/46/EC on protection of individuals with regard to the processing of personal data.

[1.3] The education requirements are set out in Article 11(1) of Directive 2007/59/EC.

[1.4] The physical requirements are set out in Article 11(2) of Directive 2007/59/EC.

[1.5] The psychological requirements are set out in Article 11(3) of Directive 2007/59/EC.

[1.6] The general professional competence requirements are set out in Article 11(4) of Directive 2007/59/EC.

4.2. For an updated licence, check.2 in section 4 and provide documents listed in.2.1.2.2 or 2.3.

4.3. For an amended licence check box 3 in section 4 and provide documents listed in 3.1 to 3.2 or 3.3.

4.4. To obtain a duplicate of the licence, check box 4, and provide the documents listed in 4.1 to 4.2.

4.5. To renew a licence, check box 4.5, and provide the documents listed in 5.1 to 5.3.

[5.3] The evidence of maintained competency relates to drivers who may not be included in a RU/IM’s safety management system or in a programme for maintaining competences organised or recognised by the competent authorities.

Further boxes may be added. However, these are not part of the harmonised format.

(1)

OJ L 281, 23.11.1995, p. 31. Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data. Directive as amended by Regulation (EC) No 1882/2003 (OJ L 284, 31.10.2003, p. 1).

(2)

OJ L 13, 19.1.2000, p. 12.

(3)

OJ L 281, 23.11.1995, p. 31. Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data. Directive as amended by Regulation (EC) No 1882/2003 (OJ L 284, 31.10.2003, p. 1).