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

Commission Regulation (EU) No 36/2010

of 3 December 2009

on Community models for train driving licences, complementary certificates, certified copies of complementary certificates and application forms for train driving licences, under Directive 2007/59/EC of the European Parliament and the Council

(text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

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 4(4) thereof,

Having regard to the recommendation of the European Railway Agency No ERA/REC/SAF/04-2008 of 19 December 2008 on harmonised formats for train driving licences, complementary certificates, and certified copies of the complementary certificates for train drivers, in conformity with Directive 2007/59/EC and the recommendation of the European Railway Agency No ERA/REC/SAF/06-2008 of 19 December 2008 on the use of a harmonised model for application form for train driving licences,

Whereas:

(1) Directive 2007/59/EC provides that all train drivers shall have the necessary fitness and qualifications to drive trains and shall hold the following documents: a licence demonstrating that the driver satisfies minimum conditions as regards medical requirements, basic education and general professional skills and 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.

(2) The Member States’ laws on the certification conditions for train drivers differ considerably. Harmonised models for the certification of train drivers should therefore be adopted to support the implementation of the relevant Community rules.

(3) The aim of harmonising licences and complementary certificates is primarily to make it easier for train drivers to move from one Member State to another, but also to make it easier for them to move from one railway undertaking to another, and generally to have the licences and certificates recognised by all railway sector stakeholders. To this end, it is essential that the provisions set minimum requirements which applicants should meet to obtain a licence or harmonised complementary certificate. In order to guarantee the necessary uniformity and transparency, Member States should adopt a harmonised model for train driving licences, whilst railway undertakings and infrastructure managers should issue harmonised complementary certificates.

(4) To railway undertakings and infrastructure managers employing or contracting drivers, and especially to railway undertakings operating international services, it is important that the format of complementary certificates should be the same in different Member States; therefore it should be harmonised in order to attest drivers’ compliance with certain minimum conditions, professional qualifications and linguistic knowledge.

(5) In accordance with Article 4(4) of Directive 2007/59/EC, the European Railway Agency is required to prepare a draft of Community model for the licence, the complementary certificate and the certified copy of the complementary certificate, and also determine their physical characteristics, taking into account therein anti-forgery measures. The same Article requires the Agency to recommend Community Codes for the different types of categories of driving A and B to be displayed on the complementary certificate. Annex I(2)(g) to Directive 2007/59/EC states that the Commission shall decide the codes for additional information or medical restriction to be included in the train driving licences.

(6) Each train driving licence should be granted by the Member States with a unique number; this number should also make it easier to record the licence in the national register of train driving licences, to be set up in accordance with Article 22(1)(a) of Directive 2007/59/EC.

(7) All of the information contained in train driving licences, complementary certificates and registers thereof 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.

(8) The employment of train drivers certified in accordance with Directive 2007/59/EC should not exonerate railway undertakings and infrastructure managers from their obligation to set up a system of monitoring and internal control of the competence and conduct of their train drivers pursuant to Article 9 of and Annex III to Directive 2004/49/EC and should form part of that system. The harmonised complementary certificate should not relieve railway undertakings and infrastructure managers of their responsibility for the safe operation of their part of the railway system, and, in particular, the training of their staff.

(9) Article 7(1) of Directive 2007/59/EC states that a licence shall be valid throughout the territory of the Community and Article 4(4) of that Directive requires a Community model to be set out. A harmonised application form for licences would therefore facilitate the work of the competent authorities in the Member States that have to collect information in order to deliver the licence.

(10) Article 14(1) of Directive 2007/59/EC requires competent authorities in the Member States to publish the procedure to be followed for obtaining a licence. When establishing such procedures, competent authorities should include provisions for the use of the harmonised application form.

(11) The harmonised application form may be used to provide adequate information on the national enforcement provisions for 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 of the free movement of such data(3) on the protection of individuals when processing personal data. Competent authorities may use it to obtain authorisation to process data on applicants for or holders of a train driving licence, whenever it is required thereby.

(12) The adoption of a harmonised application form has a very limited economic impact and constitutes a very slight administrative burden, given the possibility to choose between a printout document and an IT interface using a common application.

(13) In accordance with Article 36(3) of Directive 2007/59/EC, the latter does not apply to Cyprus and Malta. Therefore this Regulation should not be applicable in Cyprus and Malta as long as no railway system is established within the territory of these Member States.

(14) The measures provided for in this Regulation are in accordance with the opinion of the Railway Safety and Interoperability Committee as set up under Article 21 of Directive 96/48/EC,

HAS ADOPTED THIS REGULATION:

[F1 Article 1 U.K. Model for train driving licences

The model as set out in Annex I to this Regulation must be used for train driving licences. This format must be used when a train driving licence is issued, renewed, updated or revoked.

The language used must be English.]

Textual Amendments

F1 Art. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(2); 2020 c. 1, Sch. 5 para. 1(1)

[F2 Article 1A U.K. Definitions

For the purposes of this Regulation:

(a) “complementary certificate” means a train driving certificate issued under the Regulations or the NI Regulations;

(b) “delegated body” means a person to whom functions have been delegated by the ORR under regulation 34 of the Regulations or by the Department under regulation 20 of the NI Regulations;

(c) “Data Protection Legislation” means Regulation (EU) 2016/679 of the European Parliament and of the Council on the protection of natural persons with regard to the processing of personal data and on the free movement of such data and repealing Directive 95/46/EC (General Data Protection Regulation) and the Data Protection Act 2018 ;

(d) “Department” means the Department for Infrastructure renamed as such by the Departments Act (Northern Ireland) 2016 and originally established as the Department for Regional Development by article 3(1) of the Departments (Northern Ireland) Order 1999;

(e) “NI Regulations” means the Train Driving Licences and Certificates Regulations (Northern Ireland) 2010;

(f) “ORR” means the Office of Rail and Road;

(g) “Regulations” means the Train Driving Licences and Certificates Regulations 2010;

(h) “train driving licence” means a train driving licence or a Northern Ireland train driving licence as both such terms are defined in the Regulations.]

Textual Amendments

F2 Art. 1A inserted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(3); 2020 c. 1, Sch. 5 para. 1(1)

[F3 Article 2 U.K. Model for complementary certificates

The model as set out in Annex II to this Regulation must be used for complementary certificates.

This format must be used when a complementary certificate is issued, renewed, updated, amended or revoked.

The language used must be English.]

Textual Amendments

F3 Art. 2 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(4); 2020 c. 1, Sch. 5 para. 1(1)

[F4 Article 3 U.K. Model for certified copies of complementary certificates

The model set out in Annex III to this Regulation must be used for certified copies of complementary certificates issued in accordance with regulation 16(4) of the Regulations or regulation 16(3) of the NI Regulations, as the case may be.]

Textual Amendments

F4 Art. 3 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(5); 2020 c. 1, Sch. 5 para. 1(1)

Article 4 U.K. Application form for train driving licences

1. The F5 ... model of the application form, as set out in Annex IV to this Regulation may be used for train driving licence [F6 applications referred to in regulation 10 of the Regulations or regulation 10 of the NI Regulations]. This model shall allow the inclusion of F7 ... requirements that may complement the information set out in Annex IV to this Regulation.

2. The F5 ... model of the application form, may be used to apply for a new licence, the updating of licence particulars, a renewal or a duplicate.

3. Guidelines for filling in the F5 ... model of the application form are set out in Annex IV.

[F8 4. The ORR and the Department may transfer the lay-out of the model of the application form into the procedures published by each of them under regulation 10 of the Regulations or regulation 10 of the NI Regulations.]

Textual Amendments

F5 Word in Art. 4 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(6)(a); 2020 c. 1, Sch. 5 para. 1(1)

F6 Words in Art. 4(1) substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(6)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)

F7 Word in Art. 4(1) omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(6)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)

F8 Art. 4(4) substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(6)(c); 2020 c. 1, Sch. 5 para. 1(1)

Article 5 U.K. Entry into force

This Regulation shall enter into force on the 20th day following its publication in the Official Journal of the European Union.

F9 ...

Textual Amendments

F9 Words in Signature omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(7); 2020 c. 1, Sch. 5 para. 1(1)

ANNEX I U.K. F10 ... MODEL OF TRAIN DRIVING LICENCE

Textual Amendments

F10 Word in Annex 1 heading omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(8); 2020 c. 1, Sch. 5 para. 1(1)

1. PHYSICAL CHARACTERISTICS OF THE TRAIN DRIVING LICENCE U.K.

The train driving licence shall follow the format ID-1 set out in international standard ISO/IEC 7810:2003 Identification cards — Physical characteristics.

Without prejudice to data protection rules, [F11 the ORR and the Department may] use storage medium (microchip) as part of the licence, to allow railway undertakings and infrastructure managers to store company-related information including the data to be contained in the complementary certificate, provided that it does not in any way interfere with the implementation of this Regulation.

Textual Amendments

F11 Words in Annex 1 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(a)(i); 2020 c. 1, Sch. 5 para. 1(1)

The insertion of any such microchip shall conform with international standard ISO 7816-1:1998 Identification cards — Integrated circuit(s) cards with contacts — Part 1: Physical characteristics.

Railway undertakings and infrastructure managers will not be exempted from adopting the F12 ... model of the complementary certificate described in Chapter 4 of Annex II until the harmonised requirements for the use of smart-card are established.

Textual Amendments

F12 Word in Annex 1 s. 1 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(a)(ii); 2020 c. 1, Sch. 5 para. 1(1)

Methods for verifying the characteristics of the driving licences, to ensure that they are consistent with international standards, shall comply with standard ISO/IEC 10373-1:2006 Identification cards — Test methods — Part 1: General characteristics.

2. ANTI-FORGERY MEASURES U.K.

(a)

The material used for driving licences shall be made secure against forgery by using the following techniques (mandatory security features):

• card bodies shall be UV dull,

• a security background pattern shall be designed to be resistant to counterfeit by scanning, printing or copying, using rainbow printing with multicolour security inks and positive and negative guilloche printing; the pattern shall not be composed of the primary colours (CMYK), shall contain complex pattern designs in a minimum of two special colours and shall include micro lettering,

• optical variable elements shall provide adequate protection against copying and tampering with the photograph,

• in the area of the photograph the security design background and photograph shall overlap on at least the border of the photograph (weakening pattern).

(b)

In addition, the material used for driving licences shall be made secure against forgery by using at least one of the following techniques (additional security features):

• colour-shifting inks,

• thermochromic ink,

• custom holograms,

• variable laser images,

• tactile characters, symbols or patterns.

The techniques used should enable the [F13 ORR and the Department] to check the validity of the card without any special equipment.

Textual Amendments

F13 Words in Annex 1 s. 2 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)

Non-technical measures to prevent forgeries shall be related to the monitoring of the safety management system put in place by railway undertakings and infrastructure managers in accordance with [F14 regulations 5(1)(c) and 6(1)(b) of and paragraph 2(k) of Schedule 1 to the Railways and Other Guided Transport Systems (Safety) Regulations 2006 and regulation 4(1)(c) of and paragraph 2(k) of Schedule 1 to the Railways (Safety Management) Regulations (Northern Ireland) 2006].

Textual Amendments

F14 Words in Annex 1 s. 2 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)

3. LAY-OUT OF THE TRAIN DRIVING LICENCE U.K.

F15 ...

Textual Amendments

F15 Words in Annex 1 s. 3 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)

F15 ...

The train driving licence shall have information displayed on two sides.

Recto shall contain:

(a)

the words ‘train driving licence’ printed in large type in [F16 English];

(b)

F17 ...

(c)

[F18 the distinguishing sign of the United Kingdom, based on ISO 3166 alpha-2 code, being “UK”, printed in negative.]

(d)

information specific to the licence issued, to be numbered as follows:

1.

the surname(s) of the holder. The surname(s) must match that (those) displayed on the passport/national identity card/other recognised document proving identity;

2.

the name(s) of the holder. The name(s) must match that (those) displayed on the passport/national identity card/other recognised document proving identity;

3.

the date and place of birth of the holder;

4a

the date of issue of the licence;

4b

the date of expiry of the licence;

4c

the name of the issuing authority;

4d

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

5.

the number of the licence giving access to data in the national register F19 ....

6.

a photograph of the holder;

7.

the signature of the holder.

Textual Amendments

F16 Word in Annex 1 s. 3 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(c)(ii)(aa); 2020 c. 1, Sch. 5 para. 1(1)

F17 Words in Annex 1 s. 3 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(c)(ii)(bb); 2020 c. 1, Sch. 5 para. 1(1)

F18 Words in Annex 1 s. 3 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(c)(ii)(cc); 2020 c. 1, Sch. 5 para. 1(1)

F19 Words in Annex 1 s. 3 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(c)(ii)(dd); 2020 c. 1, Sch. 5 para. 1(1)

Verso shall contain:

8.

the permanent place of residence or postal address of the holder (optional), displayed in space identified with number 8;

9.

additional information (identified as ‘9a’ boxes), or medical restrictions (identified as ‘9b’ boxes) for use imposed by [F20 the ORR or the Department, as the case may be.] Medical restrictions will be displayed in code form.

9a

Additional information shall be displayed in boxes identified with number 9a, in the following order:

a.1

Native language(s) of the train driver F21 ...;

a.2

Space reserved for [F22 additional information that may be considered necessary by the ORR or the Department, as the case may be.]

9b

Medical restriction shall be displayed in boxes identified with number 9b. Codes ‘b.1’ and ‘b.2’ will constitute F23 ... codes for medical restrictions:

b.1

Mandatory use of glasses/lenses;

b.2

Mandatory use of hearing aid/communication aid.

Textual Amendments

F20 Words in Annex 1 s. 3 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(c)(ii)(ee); 2020 c. 1, Sch. 5 para. 1(1)

F21 Words in Annex 1 s. 3 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(c)(ii)(ff); 2020 c. 1, Sch. 5 para. 1(1)

F22 Words in Annex 1 s. 3 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(c)(ii)(gg); 2020 c. 1, Sch. 5 para. 1(1)

F23 Words in Annex 1 s. 3 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(c)(ii)(hh); 2020 c. 1, Sch. 5 para. 1(1)

The relevant code shall be added in one of the boxes, and those which are not used shall be made void.

F24 ...

Textual Amendments

F24 Words in Annex 1 s. 3 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(c)(ii)(ii); 2020 c. 1, Sch. 5 para. 1(1)

4. STATUS AND NUMBERING OF THE TRAIN DRIVING LICENCE U.K.

The number shall be attributed by the [F25 ORR, the Department or a delegated body, (as the case may be)], when issuing the train driving licence. The number shall be preserved, either in case of renewal, amendment, update or issue of a duplicate.

Textual Amendments

F25 Words in Annex 1 s. 4 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(d)(i); 2020 c. 1, Sch. 5 para. 1(1)

When the licence is renewed, after 10 years, a new photo and new expiry date shall be displayed on the licence.

The licence shall be updated in case changes occur in optional data, such as change of address or change of reference number of the employee.

The licence shall be amended when a medical restriction is to be recorded during the period of validity. New code(s) shall be added according to the procedure established in accordance with [F26 regulation 10 of the Regulations or regulation 10 of the NI Regulations, as the case may be].

Textual Amendments

F26 Words in Annex 1 s. 4 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(d)(ii); 2020 c. 1, Sch. 5 para. 1(1)

The [F27 ORR or the Department, as the case may be] shall update the licence according to the procedure and delay established in conformity with [F26 regulation 10 of the Regulations or regulation 10 of the NI Regulations, as the case may be]. The railway undertakings or infrastructure managers employing or contracting drivers shall implement without delay any decision deriving from the result of medical checks.

Textual Amendments

F27 Words in Annex 1 s. 4 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(d)(iii); 2020 c. 1, Sch. 5 para. 1(1)

All changes in the status of the train driving licences shall be recorded in the national register of train driving licences.

5. PREVENTION ON THE USE OF INVALID CARDS U.K.

If the information on the licence is altered, the holder must immediately return the card to the authority that issued it, so that it can be replaced, and the invalid card can be destroyed.

The same procedure applies to a lost card, replaced by a new one and then found again.

F28 6. COMMUNITY MODEL OF TRAIN DRIVING LICENCE U.K.

Textual Amendments

F28 Annex 1 s. 6 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(9)(e); 2020 c. 1, Sch. 5 para. 1(1)

ANNEX II U.K. F29 ... MODEL OF COMPLEMENTARY CERTIFICATE

Textual Amendments

F29 Word in Annex 2 heading omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(a); 2020 c. 1, Sch. 5 para. 1(1)

1. CONTENT U.K.

Railway undertakings and infrastructure managers shall issue complementary certificates to be carried by the train drivers they employ or use under contractual arrangements when on duty, F30 .... U.K.

Textual Amendments

F30 Words in Annex 2 s. 1 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)

F31 ...

Textual Amendments

F31 Words in Annex 2 s. 1 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)

Complementary certificates shall contain the following information:

• a reference to the licence number,

• the surname(s) of the holder: [F32 This] may include all the surnames recognised, but the priority should be given to the main family name and the listing of names should be consistent with that displayed in the licence,

• the name(s) of the holder. [F33 This] may include all the first names [F33 recognised], but the listing of the name shall be consistent with that displayed in the licence,

• reference number given by the employer (optional),

• issuing and expiry date of the complementary certificate. The duration of validity for the complementary certificate is established by RUs/IMs employing or contracting drivers, and set in the procedure to be published by RUs/IMs in conformity with [F34 regulation 11 of the Regulations or regulation 11 of the NI Regulations, as the case may be]. If the certificate is valid indefinitely, the expiry date is made void,

• data related to the issuing organisation. The complementary certificate may be issued by a central or regional RU/IM’s department, designated under the procedure in conformity with [F35 regulation 11 of the Regulations or regulation 11 of the NI Regulations, as the case may be],

• it may include a company internal number for administrative purposes.

Textual Amendments

F32 Word in Annex 2 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(iii)(aa); 2020 c. 1, Sch. 5 para. 1(1)

F33 Words in Annex 2 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(iii)(bb); 2020 c. 1, Sch. 5 para. 1(1)

F34 Words in Annex 2 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(iii)(cc); 2020 c. 1, Sch. 5 para. 1(1)

F35 Words in Annex 2 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(iii)(dd); 2020 c. 1, Sch. 5 para. 1(1)

The following information will be numbered as described below.

1.1. Data on the employer U.K.

The information on the company employing or contracting the train driver shall include:

• the company name and, if relevant, the workplace (e.g. the depot to which the driver is assigned),

• the category of entity employing or contracting the driver: ‘railway undertaking’ or ‘infrastructure manager’,

• the postal address: street address, post code, city and country,

• the train driver’s personal reference number within the company. This is optional information.

1.2. Data on the holder U.K.

The following data on the holder shall be displayed:

• the place of birth (place and country),

• the date of birth,

• the nationality of the driver,

• the postal address (street address, post code, city and country). This is optional information.

1.3. Categories of driving U.K.

The categories and types of driving, for which the driver is authorised to drive, shall be displayed as follows. U.K.

Category A U.K.

RUs/IMs may use ‘A’ as a global category, encompassing all activities of category A: shunting locomotives, work trains, maintenance railway vehicles and all other locomotives when they are used for shunting.

Alternatively, RUs/IMs may limit the scope of the certificate to one or more of the following types:

A1

=

when limited to shunting locomotives;

A2

=

when limited to work trains;

A3

=

when limited to maintenance railway vehicles;

A4

=

when limited to all other locomotives when they are used for shunting;

A5

=

other, if the authorisation is related for services or rolling stock not included in the previous categories. This shall be specified in the appropriate space.

Category B U.K.

RUs/IMs may use ‘B’ as a global category, encompassing carriages of passengers and goods.

Alternatively, RUs/IMs may limit the scope of the certificate to one or more of the following types:

B1

=

when limited to carriage of passengers;

B2

=

when limited to carriage of goods.

The category in which the holder is authorised to drive shall be indicated by filling in the appropriate box if a global category is chosen or boxes, if one or more subcategories are chosen. The boxes that are not necessary shall be made void.

Examples:

A		=	global category A. No subcategory used
A		=	Category A, subcategory 1 (authorisation to drive only shunting locomotives)
A		=	Category A, subcategories 2 and 3 (authorisation to drive work-trains and maintenance vehicles)
A		=	Category A, subcategory 5 (authorisation related to service or rolling stock not corresponding to subcategories from A1 to A4. To be specified in the box ‘notes’)
B		=	global category B, no subcategory used
B		=	Category B, subcategory 2 (authorisation to drive freight trains)

Railway Undertakings and Infrastructure Managers shall ensure that the choice of subcategory does not influence the requirements set out in [F36 Schedules 4 and 5 to the Regulations or Schedules 4 and 5 to the NI Regulations, as the case may be].

Textual Amendments

F36 Words in Annex 2 s. 1.3 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(iv); 2020 c. 1, Sch. 5 para. 1(1)

1.4. Additional information U.K.

This part is reserved for additional information that may be requested by F37 ... applicable legislation or by the company’s internal procedures.

Textual Amendments

F37 Word in Annex 2 s. 1.4 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(v); 2020 c. 1, Sch. 5 para. 1(1)

1.5. Data related to language skills U.K.

The list of all languages, others than the native language, that are necessary to operate on the relevant infrastructure and that are known by the train drivers and comply with the requirements of [F38 Schedule 4 to the Regulations or Schedule 4 to the NI Regulations, as the case may be], shall be inserted here.

Textual Amendments

F38 Words in Annex 2 s. 1.5 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(vi); 2020 c. 1, Sch. 5 para. 1(1)

1.6. Restrictions U.K.

This part shows restrictions related to the characteristics and capabilities of the driver in relation to the content of the complementary certificate (e.g.: driving allowed only in daylight)

If the restrictions concern rolling stock (e.g.: speed restrictions when driving certain types of locomotives) and/or infrastructure, the information in text format shall be provided in the box ‘notes’ beside the relevant rolling stock and/or infrastructure.

1.7. Data relating to rolling stock U.K.

This part lists types of rolling stock the driver is authorised to drive, following an assessment of competences listed in [F39 Schedule 5 to the Regulations or Schedule 5 to the NI Regulations, as the case may be].

Textual Amendments

F39 Words in Annex 2 s. 1.7 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(vii); 2020 c. 1, Sch. 5 para. 1(1)

Data shall be displayed in the following boxes:

• a box for the date of the beginning of validity of the relevant competence,

• a box for each type of rolling stock,

• a box with space for notes (they may be the stamp to confirm the acquired competences, the date of the end of validity of the competency or other relevant information, as stated in point 1.6 above).

1.8. Data related to infrastructure U.K.

This part lists the infrastructure on which the driver is authorised to drive following an assessment of the competencies listed in [F40 paragraphs 1 to 7 of Schedule 4 to the Regulations or paragraphs 1 to 7 of Schedule 4 to the NI Regulations, as the case may be].

Textual Amendments

F40 Words in Annex 2 s. 1.8 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(b)(viii); 2020 c. 1, Sch. 5 para. 1(1)

Data shall be displayed in the following boxes:

• a box for the date of beginning of validity of the relevant competence,

• a box for the extent of infrastructure on which the driver is authorised to drive,

• a box with space for notes (they may be a stamp to confirm the acquired competences, the date of end of the validity of the competence or other relevant information, as stated in point 1.6 above.

The extent of infrastructure on which the driver is authorised to drive is described in the railway undertaking’s procedure for issuing and updating the complementary certificate. For each part of infrastructure on which the driver is authorised to drive, relevant information or restrictions shall be added.

2. PHYSICAL CHARACTERISTICS OF THE COMPLEMENTARY CERTIFICATE U.K.

The F41 ... model of complementary certificate shall be a foldable document, the size shall be 10 cm × 21 cm (when unfolded) giving three outside and three inside pages.

Textual Amendments

F41 Word in Annex 2 s. 2 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)

The front page shall display the following information:

• surname(s) and name(s) of the holder,

• licence number,

• issue and expiry dates of the complementary certificate,

• data related to issuing entity and stamp. It may include a company internal number for administrative purposes.

Page two shall contain data on the employer/contracting entity and additional data on the holder, numbered as follows:

1.

Data on the employer or contracting entity;

2.

Data on the train drivers (holder of the complementary certificate).

Page three shall contain:

3.

The categories of driving;

4.

Additional information;

5.

Language skills;

6.

Restrictions.

The inside pages shall contain the types of rolling stock that the driver is authorised to drive (types, date of initial assessment) and the list of infrastructure on which the driver is authorised to drive.

Additional internal pages may be added to include information that exceeds the available space.

F42 ...

Textual Amendments

F42 Words in Annex 2 s. 2 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(c)(ii); 2020 c. 1, Sch. 5 para. 1(1)

3. ANTI-FORGERY MEASURES U.K.

The following two anti forgery measures shall be used for the complementary certificates:

Technical measures (the most common are company logo, paper texture and permanent ink, display of an internal reference number and stamp). All updates shall be confirmed by a date and stamp on the document and shall be consistent with information in the register.

Procedures for monitoring the safety management system, to check that information on the complementary certificate is valid and has not been altered, in accordance with [F43 regulation 17(1) of the Regulations or regulation 17(1) of the NI Regulations, as the case may be].

Textual Amendments

F43 Words in Annex 2 s. 3 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(d)(i); 2020 c. 1, Sch. 5 para. 1(1)

All this information shall be included in the provisions for issuing and updating complementary certificates, in accordance with [F44 regulation 11 of the Regulations or regulation 11 of the NI Regulations, as the case may be].

Textual Amendments

F44 Words in Annex 2 s. 3 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(d)(ii); 2020 c. 1, Sch. 5 para. 1(1)

F45 4. COMMUNITY MODEL OF COMPLEMENTARY CERTIFICATE U.K.

Textual Amendments

F45 Annex 2 s. 4 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(10)(e); 2020 c. 1, Sch. 5 para. 1(1)

ANNEX III U.K. F46 ... MODEL OF CERTIFIED COPY OF COMPLEMENTARY CERTIFICATE

Textual Amendments

F46 Word in Annex 3 heading omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(11); 2020 c. 1, Sch. 5 para. 1(1)

1. CERTIFIED COPY OF COMPLEMENTARY CERTIFICATE U.K.

Railway undertakings and infrastructure managers shall issue certified copies of complementary certificates to the train driver upon request or when leaving the job. F47 ...

Textual Amendments

F47 Words in Annex 3 s. 1 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(12)(a)(i); 2020 c. 1, Sch. 5 para. 1(1)

The procedure for issuing complementary certificates, set up in accordance with [F48 regulation 11 of the Regulations or regulation 11 of the NI Regulations, as the case may be], shall specify the language(s) in which the certificates are issued.

Textual Amendments

F48 Words in Annex 3 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(12)(a)(ii); 2020 c. 1, Sch. 5 para. 1(1)

2. PHYSICAL CHARACTERISTICS OF THE CERTIFIED COPY OF COMPLEMENTARY CERTIFICATE U.K.

The F49 ... model of certified copy of a complementary certificate shall be on A4 paper, listing information numbered as in Annex II section 1 and containing the date when the driver has ceased driving trains for the RU/IM, [F50 in accordance with regulation 16(4) of the Regulations or regulation 16(3) of the NI Regulations, as the case may be].

Textual Amendments

F49 Word in Annex 3 s. 2 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(12)(b); 2020 c. 1, Sch. 5 para. 1(1)

F50 Words in Annex 3 s. 2 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(12)(b); 2020 c. 1, Sch. 5 para. 1(1)

The possession of a certified copy of complementary certificate provides information about competencies acquired by the driver and does not represent an authorisation to drive.

The model shall be on A 4 sized paper and be limited to one page. However given the possibility that the information may require more than one line in the relevant boxes, the final certified copy may be more than one page.

3. ANTI-FORGERY MEASURES U.K.

Anti forgery measures for certified copies of the complementary certificates shall be the same as those for complementary certificates, described in Annex II section 3.

F51 4. COMMUNITY MODEL OF CERTIFIED COPY OF COMPLEMENTARY CERTIFICATE U.K.

Textual Amendments

F51 Annex 3 s. 4 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(12)(c); 2020 c. 1, Sch. 5 para. 1(1)

ANNEX IV U.K. F52 ... APPLICATION FORM FOR TRAIN DRIVING LICENCES

Textual Amendments

F52 Word in Annex 4 heading omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(13); 2020 c. 1, Sch. 5 para. 1(1)

1. GENERAL REMARKS U.K.

[F53 The ORR and the Department,] may use the following F54 ... 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.

Textual Amendments

F53 Words in Annex 4 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(a)(i); 2020 c. 1, Sch. 5 para. 1(1)

F54 Word in Annex 4 s. 1 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(a)(i); 2020 c. 1, Sch. 5 para. 1(1)

Content of the application form

The F55 ... 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 F56 ... application form is set out in [F57 section 2].

(b)

[F58 A personal data protection statement. The need to protect personal data must be reflected in the procedure for obtaining a licence. An example of a data protection statement is set out in section 3. The ORR or the Department, may adapt it to reflect the requirements of Data Protection Legislation.]

(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 [F59 4].

(d)

Guidance on the application form for applicants [F60 , the ORR and the Department]. This is set in Section 5.

Textual Amendments

F55 Word in Annex 4 s. 1 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(a)(ii); 2020 c. 1, Sch. 5 para. 1(1)

F56 Word in Annex 4 s. 1 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(a)(iii); 2020 c. 1, Sch. 5 para. 1(1)

F57 Words in Annex 4 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(a)(iii); 2020 c. 1, Sch. 5 para. 1(1)

F58 Words in Annex 4 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(a)(iv); 2020 c. 1, Sch. 5 para. 1(1)

F59 Word in Annex 4 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(a)(v); 2020 c. 1, Sch. 5 para. 1(1)

F60 Words in Annex 4 s. 1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(a)(vi); 2020 c. 1, Sch. 5 para. 1(1)

2. F61 ... APPLICATION FORM F62 F63 F64 U.K.

Textual Amendments

F61 Word in Annex 4 s. 2 heading omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)

F62 Annex 4 s. 2: the EU flag symbol and the words “European model” below the symbol omitted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)

F63 Annex 4 s. 2: in the sub-heading under the main heading, the words "under regulation 10 of the Regulations or regulation 10 of the NI Regulations" substituted for "in conformity with Directive 2007/59/EC and applicable national legislation" (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(b)(iii); 2020 c. 1, Sch. 5 para. 1(1)

F64 Annex 4 s. 2: in field 2.6 the words "Licence Number (not required for first issue)" substituted for "European Identification Number (EIN) of licence. EIN not required for first issue" (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(b)(iv); 2020 c. 1, Sch. 5 para. 1(1)

3. EXAMPLES OF A DATA PROTECTION STATEMENT U.K.

3.1. [F65 Example may be amended in line with Data Protection Legislation] U.K.

[F66 Any personal data, processed for the purpose of delivering train driving licences and to meet the requirement of the Regulations or the NI Regulations, must be processed in accordance with Data Protection Legislation.]

Textual Amendments

F66 Words in Annex 4 s. 3.1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(c)(ii)(aa); 2020 c. 1, Sch. 5 para. 1(1)

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 [F67 the ORR, the Department or the delegated body] should be listed here)

Textual Amendments

F67 Words in Annex 4 s. 3.1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(c)(ii)(bb); 2020 c. 1, Sch. 5 para. 1(1)

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 [F67 the ORR, the Department or the delegated body] should be displayed here)

***

Textual Amendments

F65 Annex 4 s. 3.1 heading substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)

3.2. Authorisation to process personal data (example) U.K.

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 [F68 the Regulations or the NI Regulations].

Textual Amendments

F68 Words in Annex 4 s. 3.2 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(c)(iii); 2020 c. 1, Sch. 5 para. 1(1)

Date	…
Applicant’s Signature	…

***

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

DOCUMENTS TO BE SUBMITTED WHEN APPLYING FOR

Arrival date

 1

NEW LICENCE

1.1	Signed application form
1.2	Authorisation to process personal data [F69 (in accordance with Data Protection Legislation)]
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

Textual Amendments

F69 Words in Annex 4 s. 4 point 1.2 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(d); 2020 c. 1, Sch. 5 para. 1(1)

 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 U.K.

General remarks U.K.

(a)

[F70 This application form must be incorporated into the ORR's and the Department's procedures for requesting a licence. The application must be accompanied by specific documents demonstrating that the applicant meets the requirements in regulation 8 of the Regulations or regulation 8 of the NI Regulations, as the case may be.]

(b)

[F71 The numbering system in the application form must be used.]

(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 F72 ..., and a term is not collected, the relevant box shall be filled with the words ‘not applicable’.

(e)

[F73 Additional information may be required by the ORR or the Department where it is necessary to check personal identities. Any such data must be recorded in fields 2.24-2.26.]

Textual Amendments

F70 Annex 4 s. 5(a) substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(i); 2020 c. 1, Sch. 5 para. 1(1)

F71 Annex 4 s. 5(b) substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(ii); 2020 c. 1, Sch. 5 para. 1(1)

F72 Words in Annex 4 s. 5(d) omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(iii); 2020 c. 1, Sch. 5 para. 1(1)

F73 Annex 4 s. 5(e) substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(iv); 2020 c. 1, Sch. 5 para. 1(1)

1. The first section deals with the issuing organisation U.K.

1.1. To be customised by the issuing organisation [F74 (the ORR, the Department, Railway Undertakings or other contacting entities)]. U.K.

Textual Amendments

F74 Words in Annex 4 s. 5 point 1.1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(v); 2020 c. 1, Sch. 5 para. 1(1)

1.2. Fill in information on the issuing organisation. U.K.

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

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

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. U.K.

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. U.K.

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. U.K.

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 [F75 ORR or the Department, as the case may be] shall check that the licence for which a duplicate is required is still valid and has not been suspended or withdrawn. U.K.

Textual Amendments

F75 Words in Annex 4 s. 5 point 2.5 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(vi); 2020 c. 1, Sch. 5 para. 1(1)

2.6. A [F76 Licence Number] is assigned when the licence is issued for the first time. If the application is for a first licence, leave this box blank. U.K.

Textual Amendments

F76 Words in Annex 4 s. 5 point 2.6 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(vii); 2020 c. 1, Sch. 5 para. 1(1)

Fill in the [F76 Licence 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). U.K.

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. U.K.

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

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

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. U.K.

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. U.K.

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

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. U.K.

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. U.K.

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. U.K.

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

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

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

[F77 UK] — post code — place.

Textual Amendments

F77 Word in Annex 4 s. 5 point 2.19 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(viii); 2020 c. 1, Sch. 5 para. 1(1)

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 [F78 (this information is optional)]. U.K.

Textual Amendments

F78 Words in Annex 4 s. 5 point 2.20 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(ix); 2020 c. 1, Sch. 5 para. 1(1)

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): U.K.

Number (if applicable)/Street

Post code/Town

Country

This information is important since it allows the [F79 ORR or the Department] to ask the driver or the entity submitting the application on his behalf for clarification of the documents or information provided.

Textual Amendments

F79 Words in Annex 4 s. 5 point 2.21 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(x); 2020 c. 1, Sch. 5 para. 1(1)

2.22. Permanent address of the applicant which may be displayed on the licence (this information is optional F80 ...), in the following order: U.K.

Textual Amendments

F80 Words in Annex 4 s. 5 point 2.22 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xi); 2020 c. 1, Sch. 5 para. 1(1)

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. U.K.

[F81 The specifications for the quality of portraits, set out in Appendix 11 to Section IV of the ICAO document 9303 ‘Machine Readable Travel Documents’ (ed. 2006) apply.] It contains detailed guidelines, that can be summarised as follows:

Textual Amendments

F81 Words in Annex 4 s. 5 point 2.23 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xii); 2020 c. 1, Sch. 5 para. 1(1)

• 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. [F82 (reserved for additional data) U.K.

Textual Amendments

F82 Words in Annex 4 s. 5 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xiii); 2020 c. 1, Sch. 5 para. 1(1)

These spaces are reserved for entries by ORR or the Department to enter any necessary information required under regulation 10 of the Regulations or regulation 10 of the NI Regulations, as the case may be. Personal identification numbers may be entered here.]

2.27. [F83 The candidate/driver who is the applicant must provide a signed declaration, either on paper or in electronic form, that the information provided in the application is true. The declaration will be subject to section 33(1)(k) of the Health and Safety at Work etc. 1974 Act, read with regulation 38 of the Regulations, where the licence is being applied for under the Regulations or article 31(1)(k) of the Health and Safety at Work (Northern Ireland) Order 1978, read with regulation 40 of the NI Regulations, where the licence is being applied for under those Regulations. The declaration may be adapted, if needed, to take account of any relevant law, including but not limited to laws regarding misrepresentation, falsification of documents, or fraud.] U.K.

Textual Amendments

F83 Words in Annex 4 s. 5 point 2.27 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xiv); 2020 c. 1, Sch. 5 para. 1(1)

2.28. Fill in the date the application is signed. U.K.

2.29. Add the applicant’s signature here, in original, in copy or in accordance with [F84 Regulation (EU) No 910/2014 of the European Parliament and of the Council on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC]. U.K.

Textual Amendments

F84 Words in Annex 4 s. 5 point 2.29 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xv); 2020 c. 1, Sch. 5 para. 1(1)

2.30. The [F85 ORR or the Department] may add an internal file reference number here (a incoming mail counter, for instance). U.K.

Textual Amendments

F85 Words in Annex 4 s. 5 point 2.30 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xvi); 2020 c. 1, Sch. 5 para. 1(1)

2.31. The date of receipt of the application form shall be added here, to check that the licence is issued within [F86 one month from the date on which the ORR or the Department, as the case may be, receives all the necessary documents]. U.K.

Textual Amendments

F86 Words in Annex 4 s. 5 point 2.31 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xvii); 2020 c. 1, Sch. 5 para. 1(1)

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

[F87 3. Protection of personal data U.K.

3.1. The ORR or the Department, as the case may be, must ensure that the register required by regulation 24 of the Regulations or regulations 22 of the NI Regulations complies with Data Protection Legislation. U.K.

3.2. The data protection statement and authorisation to be signed by the applicant, set out in section 3 of this Annex, are only examples of possible arrangements. The ORR and the Department, as the case may be, may adapt the arrangements as needed to ensure compliance with Data Protection Legislation.] U.K.

Textual Amendments

F87 Annex 4 s. 5 point 3 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xviii); 2020 c. 1, Sch. 5 para. 1(1)

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

[F88 4.1. To obtain a new licence check box 1 in section 4 (list of documents to be appended to the application form for a train driving licence) and provide the documents listed at points 1.1 to 1.6 of section 4. U.K.

• [1.2] Provide authorisation for the ORR or the Department, as the case may be, to process your personal data in accordance with Data Protection Legislation.

• [1.3] The education requirements are set out in regulation 8(2)(b) and (c) of the Regulations or 8(1)(b) and (c) of the NI Regulations as the case may be.

• [1.4] The physical requirements are set out in regulation 8(2)(d) of the Regulations or regulation 8(1)(d) of the NI Regulations, as the case may be.

• [1.5] The psychological requirements are set out in regulation 8(2)(e) of the Regulations or regulation 8(1)(e) of the NI Regulations, as the case may be.

• [1.6] The general professional competence requirements are set out in regulation 8(2)(f) of the Regulations or regulation 8(1)(f) of the NI Regulations, as the case may be.]

Textual Amendments

F88 Annex 4 s. 5 point 4.1 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xix)(aa); 2020 c. 1, Sch. 5 para. 1(1)

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

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. U.K.

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

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

[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 [F89 ORR or the Department].

Textual Amendments

F89 Words in Annex 4 s. 5 point 4.5 substituted (31.12.2020) by The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xix)(bb); 2020 c. 1, Sch. 5 para. 1(1)

Further boxes may be added. F90 ...

Textual Amendments

F90 Words in Annex 4 s. 5 point 4.5 omitted (31.12.2020) by virtue of The Train Driving Licences and Certificates (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/677), regs. 1(2), 4(14)(e)(xix)(bb); 2020 c. 1, Sch. 5 para. 1(1)

(1)

OJ L 315, 3.12.2007, p. 51.

(2)

OJ L 164, 30.4.2004, p. 44.

(3)

OJ L 281, 23.11.1995, p. 31.